This executive decree shall enter into force upon its publication in the Official Gazette La Gaceta.
Given at the Presidency of the Republic.-San José, on the twentieth day of February of the year two thousand six.
National Environmental Technical Secretariat SETENA TECHNICAL PROCEDURE FOR THE INTRODUCTION OF THE ENVIRONMENTAL VARIABLE IN REGULATORY PLANS OR OTHER LAND-USE PLANNING 1. BACKGROUND 1.1 Based on the provisions established in the rulings of the Constitutional Chamber (votos de la Sala Constitucional) Nº 2002 - 01220 on case file (expediente) 01-002886-0007-CO of February sixth, two thousand two, Nº 2005 - 02529 on case file 03 - 009943 - 0007 - CO of March ninth, two thousand five, and Nº 2005 - 097765 on case file 05 - 03589 - 0007 - CO of July twenty-seventh, two thousand five, Chapter VI of Law 7554 (Organic Law of the Environment), and the General Regulation on Environmental Impact Assessment Procedures of Costa Rica (Executive Decree Nº 31849 - MINAE - S - MOPT - MAG - MEIC), it includes a special section on the introduction of the environmental impact variable (or environmental variable) in Regulatory Plans and other types of land-use planning.
1.2 In accordance with the guidelines issued from the referred Regulation, as part of the EIA Technical Procedures Manual, a special procedure must be promulgated for the introduction of the environmental variable in new Regulatory Plans to be prepared or other types of land-use planning, and additionally, an instruction so that those regulatory plans or other types of land-use planning, hereinafter summarized as "the plans" under preparation or recently completed in their proposals component can carry out said introduction as quickly and effectively as possible.
1.3 By virtue of the fact that SETENA, through its Resolution 588 - 1997, published in the Gazette on November 7, 1997, issued for the first time criteria and technical guidelines on the use of the Environmental Fragility Indices (Índices de Fragilidad Ambiental, IFA) methodology, as an instrument for the development of the Environmental Territorial Zoning (Ordenamiento Ambiental Territorial, OAT) of the country and for environmental planning and administration decision-making; and considering the fact that during recent years said methodology has been applied and successfully tested, in different types of geographic spaces and environmental territorial zoning, the same has been adopted, in its most developed and improved modality, as a technical donation by its lead author, as a useful and practical work tool for the insertion of the environmental variable in land-use planning in Costa Rica.
1.4 As a result of, in the months following the issuance of the General EIA Regulation, SETENA having received several communications from various municipalities in which regulatory plans are being prepared or expressing the need for these local governments to be guided regarding how it is deemed necessary to introduce the environmental variable.
2. GENERAL APPLICATION FRAMEWORK OF THE PROCEDURE 2.1 Objectives of the procedure 2.1.1 The primary purpose of the Procedure is to provide the main and basic technical guidelines that the municipality, corresponding authority, or user of the instrument must comply with, to incorporate the environmental impact variable or environmental variable in the land-use planning of its jurisdictional territory or area of interest, as well as to indicate the technical guidelines that SETENA will follow to review and evaluate said introduction of the environmental variable, in order to ultimately grant, should the defined procedures be met, the Environmental Viability (License) for the proposal.
2.1.2 The result of the application of this IFA method and the analysis of the environmental scope of the development proposal described herein is an environmental fragility category zoning map (mapa de zonificación de categorías de fragilidad ambiental) with the respective tables of technical limitations and potentialities, which will serve as guidance for decision-making on land-use planning and to define, generically, its environmental scope, within a basic and elementary framework of Strategic Environmental Assessment applied to territorial planning.
2.2 Limitations, considerations, precautions, and recommendations for the use of the procedure 2.2.1 The procedure described herein must be considered a minimum procedure, providing reference and basic guidance for the introduction of the environmental variable in land-use planning and its environmental scope. Its adoption by SETENA as a technical instrument does not exclude nor limit the possibility for its users to also use, in a complementary manner, any other type of technical territorial planning instrument that produces the expected results of the method proposed herein, that is, the identification of the environmental fragility of geographic spaces and the technical potentialities and limitations of their different categories and integrated environmental fragility zones, as well as the analysis of the environmental scope of the proposed development.
2.2.2 The IFA zoning map must NOT be considered or interpreted as the land-use zoning map generated by the Regulatory Plan or the Land Use Plan; on the contrary, it is an input for the diagnostic component, which applies the environmental premise and establishes the basis for the authorities, together with other involved social actors, to decide on the most appropriate and suitable uses to be given to the land in the territory subject to planning.
2.2.3 The technical team responsible for the OAT may include other environmental variables in addition to those integrated by the environmental territorial zoning (OAT) method established in this decree, provided they justify their incorporation into the process and determine the new technical limitations or potentialities that the system acquires.
(Thus amended the preceding subsection by Article 13 of Executive Decree Nº 34375 of October 8, 2007) 2.2.4 It is relevant to highlight that the method described below is not a technical procedure for defining land-use prohibition zones. It is a restrictive-type method, which applies the environmental premise of sustainable development, to guide the users of the method and citizens in general on the most balanced way to insert human activities into geographic spaces, under technical considerations of carrying capacity and proposals for appropriate technological solutions to maintain that environmental balance.
2.2.5 The procedure described in this document is designed to be used in geographic spaces of all types; however, in the case of special administration areas, such as national parks, absolute biological reserves, and other similar areas, where a special decision on land use already exists, the method can be used, albeit adapting some of its components so that they appropriately fit the legal framework governing land use in those territories.
2.2.6 The topic of public participation in the use of this procedure is not developed as part of the methodological steps to be followed because it occurs in a phase complementary to its application. The technical information from the IFA methodology will serve as a basis, as the Diagnostic component of the Regulatory Plan, so that, during the plan's formation, and in correspondence with what is established by current legislation, public participation will occur. On the other hand, in the case of the Environmental Analysis Report, this occurs after the Regulatory Plan preparation process and prior to holding the Public Hearing in which a comprehensive participation phase will be fulfilled. Despite the above, the corresponding authorities and the consulting firm responsible for conducting the studies are not prevented from holding discussion, analysis, and presentation activities of the results and progress of the work applying the IFA methodology and the Environmental Analysis Report, in order to facilitate the process of technical assimilation and understanding of the procedure and also the decision-making mechanism.
3. GLOSSARY 3.1 Anthropoaptitude (Antropoaptitud): condition presented by a geographic space based on the different types of land use made of it by human beings, considering variables such as urban use, agricultural use, forest use, and conservation use. It takes into account aspects of historic cultural use, related to cultural and scientific heritage information, current use, and human development trends with time projections of no more than five years.
3.2 Environmentally Fragile Area (Área Ambientalmente Frágil, AAF): Geographic space that, based on its conditions of geoaptitude (geoaptitud), land-use capacity, ecosystems that comprise it, and its sociocultural particularity; presents a restricted carrying capacity and some technical limitations that must be considered for its use in human activities. It also includes areas for which the State, by virtue of their specific environmental characteristics, has issued a special legal framework for protection, safeguarding, or administration.
3.3 Bioaptitude (Bioaptitud): natural condition of a geographic space from a biological perspective, particularly considering the nature and characteristics of the vegetative cover (cobertura vegetal) that may be present, as the biotopic support base for a given ecosystem, considering variables such as biological zonation and connectivity of ecosystems.
3.4 Edaphoaptitude (Edafoaptitud): comprises the natural condition of a given terrain regarding the conditions of the soil layer covering it, taking into account aspects such as soil type, its agricultural potential, and its land-use capacity based on its forest aptitude.
3.5 Cumulative Effects: Refers to the accumulation of changes in the environmental system, starting from a baseline, both in time and space; changes that act interactively and additively.
3.6 Ecological balance: Is the relationship of interdependence among the elements that make up the environment, which makes possible the existence, transformation, and development of human beings and other living beings. The ecological balance between human activities and their surrounding environment is achieved when the pressure (effects or impacts) exerted by the former does not exceed the carrying capacity of the latter, so that this activity manages to insert itself harmoniously with the natural ecosystem, without the existence of one representing a danger to the existence of the other.
3.7 Strategic Environmental Assessment (SEA) (Evaluación Ambiental Estratégica, EAE): Environmental Impact Assessment process applied to policies, plans, and programs. Due to its characteristic and nature, this type of process can also be applied to projects of national, binational, Central American regional significance, or by multilateral agreements, as established in this regulation.
3.8 Cumulative Effects Assessment (CEA) (Evaluación de Efectos Acumulativos, EEA): Is the scientific-technical process of analysis and assessment of cumulative environmental changes, caused by the systematic sum of the effects of activities, works, or projects developed within a defined geographic area, such as a hydrographic basin or sub-basin.
3.9 Environmental Impact: Effect that an activity, work, or project, or any of its actions and components, has on the environment or its constituent elements. It can be positive or negative, direct or indirect, cumulative or not, reversible or irreversible, extensive or limited, among other characteristics. It is differentiated from environmental damage, to the extent and at the time that the environmental impact is evaluated in an ex-ante process, so that prevention, mitigation, and compensation aspects can be considered to reduce its scope on the environment.
3.10 Regulatory Plan for Land-use Zoning: The local planning instrument that defines, in a set of plans, maps, regulations, graphics, or supplements, the development policy and plans for population distribution, land uses, circulation routes, public services, community facilities, and construction, conservation, and rehabilitation of urban areas. It can be of an urban, agricultural land-use, or maritime-terrestrial zone type.
3.11 Environmental Territorial Zoning (OAT): consists of the inventory, diagnosis, and definition of the natural environmental conditions of a given geographic space, to establish use limitations and its suitability conditions for the development of specific human activities. In practical terms, OAT means analyzing the entire set of variables that make up a given environment and defining, based on their integral analysis, a distribution or division of that geographic space based on its natural aptitudes and limitations to the development of activities, works, or projects.
3.12 Environmental Fragility Index (IFA): is defined as the total environmental load balance of a given geographic space, summarizing its natural suitability condition (biotic, gea, and land potential use), the induced environmental load condition, and the absorption capacity of the additional environmental load, linked to resource demand.
3.13 Geoaptitude (Geoaptitud): refers to the natural stability condition of geographic spaces, both from the point of view of their subsoil conditions and the active geodynamic processes that can alter that stability, especially in relatively young and dynamic geological geographic spaces.
4. GENERAL PRINCIPLES TO BE CONSIDERED 4.1 The basic principles of environmental territorial zoning that underpin this procedure are grounded in the provisions of Chapter VI of the Organic Law of the Environment on Territorial Zoning, with special emphasis on what is stated in the articles cited in the following paragraphs.
4.2 In accordance with the provisions of the Territorial Zoning Policy established in Article 28 of the Organic Law of the Environment, the purpose of promoting territorial zoning with the integration of the environmental variable is to "achieve harmony between the greatest well-being of the population, the use of natural resources, and the conservation of the environment." 4.3 Based on Article 29 of the Organic Law of the Environment stating that "for territorial zoning in matters of sustainable development, the following purposes shall be considered":
- a)To locate, optimally, within the national territory, productive activities, human settlements, public use and recreational zones, communication and transportation networks, wilderness areas, and other vital infrastructure works, such as energy units and irrigation and drainage districts.
- b)To serve as a guide for the sustainable use of environmental elements.
- c)To balance the sustainable development of the different zones of the country.
- d)To promote the active participation of inhabitants and organized society in the elaboration and application of territorial zoning plans and city regulatory plans, to achieve sustainable use of natural resources.
4.4 Regarding urban development, in accordance with Article 31 of the Organic Law of the Environment, "the provisions of Article 29 above shall be followed, the development and redevelopment of cities shall be promoted, through the intensive use of urban space, to free up and conserve resources for other uses or for future residential expansion." 4.5 The other principles and technical guidelines established in the various current sectoral laws, which form part of the national legal framework and refer to the administration of sectoral topics such as urban planning; the administration and management of the maritime-terrestrial zone; the use of renewable and non-renewable natural resources; the use, management, and conservation of soils; the protection of biodiversity; the management and protection of water resources; disaster prevention and emergency response; and all other related legislation, also form part of the technical basis for this procedure.
5. PROCEDURE TO FOLLOW FOR THE GENERATION OF OAT MAPS BASED ON THE IFA METHODOLOGY 5.1 Introduction 5.1.1. The IFA determination procedure for generating basic OAT maps is based on the principle of integrating multidisciplinary information available in documented form, or that can be obtained through complementary fieldwork and research carried out by professionals trained for this task in a relatively short period.
5.1.2. The IFA uses 4 basic information axes as the basis for its development. For each of these fundamental environmental information axes, an IFA category is established based on the specific data standardized by SETENA according to this procedure and the protocols annexed to it.
5.1.3. The combination of the specific IFAs for each axis enables the establishment of the integrated IFA, and therefore, of the technical limitations, restrictions, and conditions for the development of activities, works, or projects. The fundamental environmental information axes to be taken into account are: the geoaptitude of the terrain, the biological aspects (bioaptitude), the edaphological aspects (edaphoaptitude), and the aspects of anthropogenic land use (anthropoaptitude).
5.1.4. The IFA methodology comprises an iterative and interactive environmental information management system, which operates according to a stepped system such that as the amount of base information improves, either because more research is conducted or the scale of detal of the data is improved, the system advances one step in the process so that the previously performed work remains useful for the new applications that can be given to the information. From this point of view, the system, once in operation, must be periodically reviewed to be fed with new data. Its other particularity is that a guideline established based on a lower-level information system can be reconsidered, provided that more precise detailed information is provided to technically justify the proposed change, and as long as it does not contradict the decision made on the development scope approved by the corresponding authority for the geographic space in question.
5.2 Geoaptitude of terrains 5.2.1. The determination of geoaptitude of the geographic space uses geological information as a basis (lithology, stratigraphy, structure), but also requires other general or specific information (when available) of indicators to be derived, such as: geotechnical aspects, slope stability, external geodynamic processes, hydrogeological characteristics, and the condition of susceptibility to natural hazards (seismic, volcanic, floods, tsunamis, liquefaction, potential surface rupture by geological fault (falla geológica), and landslides); so that the geoaptitude conditions allow for the separation of homogeneous areas of equal behavior or categorization.
5.2.2. As part of the physical variables to be considered within the analysis, the concept of Geoaptitude of terrains must be integrated to generate a Geoaptitude IFA map. This map is obtained from the algebraic sum of variable qualification data for five geoaptitude sub-themes, which include: a) Lithopetrophysical Factor, b) External Geodynamic Factor, c) Hydrogeological Factor, d) Slope Stability Factor, and e) Natural Hazards Factor.
5.3 Geoaptitude IFA Map - Lithopetrophysical Factor 5.3.1. Based on a field geological study of the area under study, the distribution and basic and applied characteristics of the subsoil and surface rock formations or units are defined, including those that represent potential mineral sources. As part of this procedure, information from the following variables will be integrated:
- a)Hardness of the geological material or "rock." b) Consistency (or degree of cohesion) of the geological material or consistency.
- c)Lineation factor (intensity and relationships of fracturing).
- d)Degree or intensity of weathering of the geological material.
- e)Thickness of the soil layers or of the surface formation under analysis.
- f)Clay content of the soil or of the geological formation under analysis.
- g)Porosity and apparent permeability.
5.3.2. For each of these variables, the responsible professional must establish a rating in five ranges, namely:
1. Very High, 2. High, 3. Moderate, 4. Low, and 5. Very Low, based on the rating and determination of technical limitation or potentiality tables included as part of Annex Nº 1 of this document. In accordance with paragraph 2.2.3, the responsible consulting professional may integrate new variables into the system, provided they technically justify them in the sense that a variable already considered is not repeated, and to the extent that the introduction of said variable implies technical limitations and potentialities that have not been considered by the variables established in the method described here.
5.3.3. Once the rating for each variable is established, a matrix relationship between the obtained variables is carried out, and a lithopetrophysical geoaptitude map is generated digitally by means of a geographic information system.
5.3.4. The corresponding geoaptitude map will integrate a rating of the lithopetrophysical units present in the geographic space under analysis, according to five categories of lithopetrophysical geoaptitude: 1. Very High, 2. High, 3. Moderate, 4. Low, and 5. Very Low. For each of these zones, the limitations and technical potentialities derived from the factor under analysis and its respective rating must be identified and listed, in the form of a Table accompanying the map, based on the guidance data present in Annex Nº 1, or those others that the professional has added according to paragraph 5.3.2 above.
5.3.5 In the preparation of the geoaptitude map, and to facilitate its understanding, the following colors will be used: 1. Very High (dark green), 2. High (light green), 3. Moderate (yellow), 4. Low (orange), and 5. Very Low (dark red).
5.3.6 The development of a terrain geoaptitude map by lithopetrophysical factor does not replace the survey and preparation of the geological map of the geographic space under study.
5.3.7 The updated geological map with field data must be complementary and the basis for the development of the geoaptitude map by lithopetrophysical factor. This map must be produced at the same scale at which the IFA - Lithopetrophysical Geoaptitude map will be worked on. For its preparation, available regional and local geological information must be taken into account, and it must also be completed with field information. As part of the text explaining the map, a chapter on technical uncertainties and their qualification will be included to have a technical evaluation basis for the map that underpinned the IFA - Geoaptitude map. For said qualification, the same methodology specified for Appendix 1 of the Protocol on Active Geological Faults will be applied (see Annex 2 of this Procedure).
5.3.8 As a way to summarize and clarify the geological condition of the geographic space under study, the professional responsible for the geoaptitude topic must prepare at least two geological profiles, orthogonal to each other, covering the maximum extension of the study area. In these profiles, they may use vertical exaggeration and must include all the geological units identified on the geological map, in addition, they must include the geological structures and the main names of the geographic units through which the trace passes.
5.4 IFA Geoaptitude Map - External Geodynamic Factor 5.4.1 As part of the geomorphological analysis of the study area, which includes the geomorphological photointerpretation examination of aerial photographs and other available remote sensor images, and additionally, fieldwork carried out directly in the study area, a Geoaptitude IFA Map - External Geodynamic Factor is generated, which includes the following variables.
- a)Slope categories present, according to the ranges followed by the Ministry of Agriculture and Livestock and the Ministry of Environment and Energy, for the land use capability analyses established in Executive Decree No. 23214 - MAG - MIRENEM, published in La Gaceta No. 107 of April 13, 1994.
- b)Relative relief, referring to terrain roughness, that is, the variability of topographic relief per square kilometer.
- c)Drainage density.
- d)Significance of active erosion areas (sheet erosion, linear erosion, "bosorrocas", gullies (cárcavas), scars, cracks, channels, rills, and other geomorphological criteria).
- e)Significance of active sedimentation areas (talus cones, active alluvial fans, sedimentation lobes, active sedimentation bars, deltas, and areas of relative subsidence with sediment accumulation).
5.4.2 To obtain the IFA - Geoaptitude for External Geodynamics map, the procedure established in paragraphs 5.3.2 through 5.3.4 of Section 5.3 above is repeated, as applicable to the external geodynamic factor.
5.4.3 The development of a terrain geoaptitude map for the external geodynamic factor does not replace the surveying and preparation of the geomorphological map of the geographical space under study. The geomorphological map updated with field data must be complementary and the basis for the development of the geoaptitude map for the external geodynamic factor. In its preparation, the result of the geological map and the geoaptitude map for the lithopetrophysical factor must be taken into account, as a way of considering the results previously obtained, and the same methodological guidelines indicated in paragraph 5.3.7 shall be followed.
5.5 IFA Geoaptitude Map - Hydrogeological Factor 5.5.1 Based on the distribution of lithopetrophysical units obtained from the lithopetrophysical geoaptitude map, and complementing with new data linked to the following variables:
- a)Drainage density of the zone for permanent-type surface water currents (according to cartographic data and field data), b) Hydrogeological profile index (based on well data from the zone and/or by extrapolation of lithopetrophysical factor data), c) Infiltration potential of the terrain (based on apparent permeability data and lineation factor data from the lithopetrophysical IFA).
- d)Location of springs (manantiales) and groundwater extraction wells present in the study area; and e) Average annual precipitation received by the geographical units, based on available data for the zone in accordance with information from the National Meteorological Institute of the Ministry of Environment and Energy. Special preference will be given to records from the last 10 years, whenever possible.
5.5.2 In order to complement the Hydrogeological Profile Index information for the preparation of the hydrogeological factor map, the responsible professional must integrate the following information, when it is available:
- a)Data from groundwater extraction wells present in the study area, including:
i. Location.
ii. Stratigraphic column.
iii. Depth of the water table (nivel freático).
iv. Extracted flow rate.
v. Basic characteristics of the aquifer.
- b)Geological-hydrogeological correlation of the well data processed according to paragraph a) above and a general summary of the data for the possible aquifers present in the study area. Particular consideration will be given to the identification and delimitation of unconfined or phreatic aquifers (acuíferos freáticos o abiertos), as well as the recharge areas of confined aquifers, based on the geological formation that hosts them. For this task, the cartographic information on the distribution of rock units must be taken into consideration, according to the lithopetrophysical geoaptitude map and, where appropriate, with the external geodynamics geoaptitude map.
5.5.3 Once all available information has been integrated, the responsible professional must prepare the IFA Map - Geoaptitude for Hydrogeological Factor, following the methodological steps established in paragraphs 5.3.2 through 5.3.4 of Section 5.3, as applicable to the Geoaptitude for Hydrogeological Factor.
5.5.4 The derived Hydrogeological Geoaptitude map does not replace the hydrogeological map that may be prepared complementarily for the study area. The hydrogeological map or map of hydrogeological elements updated with field data must be complementary and the basis for the development of the geoaptitude map for the hydrogeological factor. In its preparation, the result of the geological map and the geoaptitude map for the lithopetrophysical factor, as well as the geomorphological map and the geoaptitude map for external geodynamics, must be taken into account, as a way of considering the results previously obtained, and for its preparation, the same methodological guidelines indicated in paragraph 5.3.7 shall be followed.
5.5.5 Based on the hydrogeological geoaptitude map and considering the data from the hydrogeological map or map of hydrogeological elements, the responsible professional, and in the event that zones of unconfined or phreatic aquifers are detected, will proceed to carry out an Aquifer Vulnerability to Pollution assessment, according to the GOD Method whose basic guidelines are presented in Annex No. 3 of this document. For the preparation of the Aquifer Vulnerability Map based on the lithopetrophysical geoaptitude map, the technical procedures indicated in paragraphs 5.3.2 through 5.3.4 of Section 5.3 shall be followed, as applicable.
5.6 IFA Geoaptitude Map - Slope Stability Factor (Landslides) 5.6.1 Using as a basis the information from the lithopetrophysical geoaptitude, external geodynamics, and hydrogeological factor maps, in combination with new data integrated into the system, an IFA Geoaptitude for Slope Stability (Landslides) map must be generated for geographical spaces that present slopes greater than 15%. For those cases where a degree of instability is determined, this map must also consider the low areas immediately adjacent to said slope, to the extent that they may receive the products of the different types of mass gravitational movements that could occur in that case.
5.6.2 As part of the variables to be integrated into the analysis process, the following must be included:
- a)Thickness of soils and superficial formations (obtained from the Lithopetrophysical Geoaptitude data), b) Average monthly precipitation conditions for the three rainiest months of the zone, linking the topic of rainfall intensity as a triggering factor for slope instability processes.
- c)Slope categories according to the Geoaptitude map for the external geodynamic factor.
- d)Seismicity factor (obtained from the Geoaptitude map for natural hazard factors - see section 5.7-).
- e)Type of vegetation cover (cobertura vegetal) present on the terrain (obtained from the IFA Bioaptitude map).
- f)Presence of active or potentially active geological faults or zones of deformation due to geological faults (obtained from the Geoaptitude map for natural hazard factors).
- g)Significance of erosion/sedimentation processes (obtained from the Geoaptitude map for the external geodynamic factor).
- h)High or very high hydrogeological geoaptitude zones (obtained from the geoaptitude map for the hydrogeological factor).
- i)Slope aspect relative to the dominant direction of lineations.
5.6.3 In the event that the presence of active or potentially active geological faults is detected, by virtue of the different geoaptitude factors developed through the IFA study, and in order to establish land-use zoning on and near the trace or zone of the geological fault, a specific protocol must be used, defined jointly by SETENA with other national authorities related to the subject and presented as Annex 2 of this Procedure.
5.6.4 Once all available information has been integrated, the responsible professional must complete the IFA Map - Slope Stability, following the methodological steps established in paragraphs 5.3.2 through 5.3.4 of Section 5.3, as applicable to the slope stability geoaptitude map.
5.7 IFA Geoaptitude Map - Natural Hazard Factors 5.7.1 Considering the information generated during the preparation of the previously described geoaptitude maps and interrelating said information with new variables collected from direct or indirect sources, an IFA Geoaptitude Map - Natural Hazard Factors must be prepared. Its main objective is the identification of possible natural hazard sources and, additionally, their qualification and categorization according to the geoaptitude procedure explained in this document.
5.7.2 The natural hazard themes that must be integrated as part of this analysis are the following:
- a)Regional seismicity potential (based on data from seismic studies at the national or regional level and the Costa Rican Seismic Code).
- b)Local seismicity potential (based on the seismic density index derived from the instrumental and historical seismicity record for the zone from the national seismicity registry).
- c)Soil liquefaction potential (based on thickness data of sandy, muddy-sandy, or sandy-muddy superficial formations obtained from the geoaptitude map for the lithopetrophysical factor and the potential presence of shallow phreatic aquifers from the geoaptitude map for the hydrogeological factor).
- d)Potential for surface rupture due to active or potentially active geological faulting (see Annex 1).
- e)Volcanic hazard (see Annex 1).
- f)Potential impact from Tsunamis in marine-coastal zones (see Annex 1), and g) Flood hazard (see Annex 1).
5.7.3 The sources of information for generating natural hazard data for the study area must be obtained from:
- a)Current maps prepared by the National Commission for Risk Prevention and Disaster Response (CNE), when available and according to the degree of uncertainty applicable to them.
- b)Photo-interpretation data and direct observation obtained in the field.
- c)Information obtained directly from the residents of the communities located within the study area.
- d)Recorded and available seismicity information for the study zone.
- e)Natural hazard maps for specific themes prepared by specialist professionals in the field that are duly published by the author or authors.
5.7.4 Once all available information has been integrated, the responsible professional must complete the IFA Map - Natural Hazards, following the methodological steps established in paragraphs 5.3.2 through 5.3.4 of Section 5.3, as applicable to the natural hazards geoaptitude map. As a complementary element to the IFA Map - Natural Hazards, the responsible professional will prepare a Natural Hazards Map of the study area based on the compiled information, including the information from the IFA - Geoaptitude for Slope Stability and applicable data obtained from the other previously prepared IFA Geoaptitude maps. For the preparation of this map, the same methodological guidelines indicated in paragraph 5.3.7 shall be followed.
5.8 Integrated IFA Geoaptitude Map 5.8.1 Once the five or more different geoaptitude factor maps are available, with their respective tables of variables and their qualification, the integrated IFA Geoaptitude map is prepared.
5.8.2 The method for producing the integrated IFA Geoaptitude map is obtained by the simple algebraic sum of the five previously elaborated geoaptitude factors, including their variables and the established qualification.
5.8.3 The integrated IFA Geoaptitude map will include a zoning into five geoaptitude categories corresponding to:
- a)Very high IFA Geoaptitude (Zone I), b) High IFA Geoaptitude (Zone II), c) Moderate IFA Geoaptitude (Zone III), d) Low IFA Geoaptitude (Zone IV), and e) Very low IFA Geoaptitude (Zone V).
It is important to clarify that a very high IFA Geoaptitude rating signifies that it has the greatest number of technical limitations by geoaptitude and the lowest number of technical potentialities. The situation is reversed when dealing with very low IFA Geoaptitude.
5.8.4 As an orienting criterion for ordering and identifying the different IFA Geoaptitude categories, the responsible professional may use the Guide Table of Technical Limitations by Geoaptitude presented in Annex 1 of this Procedure. The qualification system for technical limitations, for categorizing the type of IFA - Geoaptitude zone, is established based on the number of limitations and their degree of qualification. Table No. 3 - Geoaptitude establishes the dual criteria model for delimiting the different integrated IFA - Geoaptitude zones.
5.8.5 Each IFA Geoaptitude category or corresponding zone may be divided in turn into subzones, by virtue of the grouping of limiting factors or potentialities that have related characteristics and are established by the responsible professional according to expert criteria.
5.8.6 The generation of an integrated IFA Geoaptitude map has practical utility, not only for combination with other IFA axes to generate the integrated IFA, but also as a preliminary instrument for reviewing sectoral aspects such as sites geologically suitable for the installation of sanitary landfills, non-metallic mineral sources, the location of industrial zones with high environmental risk, and identification of zones with high vulnerability to natural hazards, among other aspects. Hence, its individual analysis is useful for decision-makers regarding land-use planning.
5.9 IFA Bioaptitude Map (Biological Aspects) 5.9.1 As part of the integration of the biological information of the study area into the process of generating IFA maps, it is necessary to take into account not only the cartographic information that may be collected directly in the field, but also all other available technical information in official publications, particularly maps, as well as the application of environmental protection regulations that have been defined for geographical spaces, such as areas under different protection categories or similar formally established by legal instruments.
5.9.2 The incorporation of biological information must be carried out through maps at the scale at which the respective IFA map is being worked, in the same way that the work was done with the Geoaptitude maps analyzed earlier in this document.
5.9.3 The variables of the biological environmental aspects to be considered are the following:
- a)Types of cover or land uses from the biological point of view (see Annex 1).
- b)Protected areas formally established by legislation and according to the management categories established in the Organic Environmental Law, particularly regarding the land-use limitations implied by each of those categories.
- c)Areas with potential as biological corridors based on local data specific to the zone or from regional studies conducted by official authorities in the field that are available. For this purpose, the responsible consultant must coordinate with the regional offices of the National System of Conservation Areas (SINAC) of the Ministry of Environment and Energy (MINAE). Within this activity, particular attention must be paid to the issue of biological connectivity as part of the IFA maps. For this purpose, coordination will be carried out with SINAC and the protocol that SETENA will develop in coordination with other authorities linked to the theme will be followed.
5.9.4 Complementarily, in the preparation of the IFA - Bioaptitude map, the following thematic information will be integrated as part of the variables to consider:
- a)Cartographic identification of natural water bodies and courses and their protection areas and associated biotopes, in accordance with criteria established in current legislation and based on data obtained from photo-interpretation of recent images (less than 5 years old, when possible) and with field verification.
- b)Identification of areas subject to the payment of environmental services (Pago de Servicios Ambientales) process, when information is available.
- c)Identification of other sensitive biotopes such as mangroves, reef patches in coastal zones, riparian forests, swamps, marshes, and other similar, according to the expert criteria of the professional responsible for the map.
- d)Life zones including the most recent and available climatic and bioclimatic data for the study area. To the extent that data availability exists, the climate change factor will be taken into account as part of the evaluation, and in particular, the vulnerability of water bodies and the life they sustain to this condition linked to the situation of the planetary atmosphere.
Considering the characteristics of these variables, they will not be integrated with an IFA qualification. They will be included as part of the map and the Table of Technical Limitations and Potentialities as information for decision-making.
5.9.5 The information obtained for the different variables indicated in paragraph 5.9.3 will be integrated into the Geographic Information System used for processing the Geoaptitude data. Values and weights will be integrated following the same procedure indicated in Section 5.3, and finally the IFA Map - Biological Aspects will be derived, according to the five categories, and a table summarizing the existing technical limitations and potentialities in each zone regarding the human use that can be given to it.
5.10 IFA Map - Edaphoaptitude (Edaphological Aspects) 5.10.1 These maps refer, above all, to two fundamental factors: a) the type of soil present in the analyzed geographical space and b) the land use capability (agricultural) or potential land use.
5.10.2 They are of great importance for OAT maps, as they present the focus of one of the most important sectors from the environmental point of view, and which largely controls the environmental load to which geographical spaces are subjected.
5.10.3 The methodology for establishing land use categories is of an official nature, according to Executive Decree No. 23214-MAG-MIRENEM, published in La Gaceta No. 107 of June 6, 1994.
5.10.4 Regarding the content of Edaphological Aspects, the following themes must be incorporated:
- a)Zoning of soil types based on the official categorization and zoning established by the Ministry of Agriculture and Livestock, or from data obtained through field studies and related to geological information (see Annex 1).
- b)Land use capability in accordance with the official method established by the Ministry of Agriculture and Livestock (MAG) according to paragraph No. 5.9.3 above (see Annex 1).
5.10.5 Considering that the soil type maps referred to in subparagraph a) of the previous paragraph are available at scales equal to or greater than 1:50,000, the professional responsible for this IFA component must proceed to adjust said information, for which they must use the cartographic information from the lithopetrophysical geoaptitude and external geodynamics maps, the IFA Bioaptitude map, and also field verification.
5.10.6 Once the respective qualifications are available, and following the same data processing procedure in the Geographic Information System, the IFA map - Edaphological Aspects will be prepared, according to the steps in Section 5.3, as well as the table of linked technical limitations and technical potentialities.
5.11 IFA Anthropoaptitude Map (Anthropic Aspects) 5.11.1 Regarding the axis of anthropic aspects or human activities, the following information must be integrated:
- a)Categories of land-use zones by anthropic factors according to the weighting table established in Annex No. 1. As part of the thematic to be considered, the following must be included:
- 1)Urban development areas, in accordance with data collected directly and the regulations in force for the study area.
- 2)Available road infrastructure for the study area.
- 3)Special administration areas according to current legislation.
- 4)Anthropic land use map, identifying, when possible, the following zones: (i) Residential zones, (ii) Commercial zones, (iii) Industrial zones, (iv) Mixed-use zones, (v) Agricultural and agro-industrial use zones, and (vi) Special use zones (sanitary landfills, pipeline routes, energy transmission lines, aqueducts for population supply, treatment plants, energy substations, fuel depots, and other similar elements).
- 5)Sites of cultural, archaeological, scientific, and historical interest that are registered with the National Museum, the Ministry of Youth, Culture and Sports, or the Local Municipality.
- 6)Areas for future development in the short term (0 - 3 years) and medium term (3 - 10 years) from the urban point of view that are registered in official documents of the corresponding municipality or national authorities.
- b)Landscape categories and, in particular, sites of scenic interest established by criteria such as the beauty of natural scenery, socio-cultural tradition, tourism potential, and the balance of anthropic occupation with respect to the conservation status of the natural landscape texture. All this, according to the expert criteria of the responsible professionals and in accordance with the norms, guidelines, and regulations on landscape environmental management defined by the country's environmental authorities (see Annex No. 1, Table for Qualification of Landscape Elements, as a guide criterion).
5.11.2 For each of the zones established on the map, the responsible professional will establish a qualification with values and weights and, in addition, will determine the technical limitations and attributes for each category, according to the data in Annex No. 1.
5.11.3 Once the zone qualification is established, the information will be processed within the geographic information system according to the procedure indicated in Section 5.3.
5.12 Preparation of the Integrated IFA Map 5.12.1 The information collected in points 5.1 through 5.10 must be integrated and processed jointly so that, as a final product, an integrated Environmental Fragility Index (Índice de Fragilidad Ambiental, IFA) map is generated.
5.12.2 The method for calculating the Environmental Fragility Index (IFA) of a given geographical space is obtained by the sum of all points, through equation (1):
Integrated IFA = IFA Bioaptitude + IFA Edaphoaptitude + IFA Geoaptitude + IFA Anthropoaptitude (1) 5.12.3 Based on the integrated Environmental Fragility Index (IFA) map, a zoning of environmentally fragile areas will be defined, establishing five categories which are:
- a)Very high IFA (Zone I), b) High IFA (Zone II), c) Moderate IFA (Zone III), d) Low IFA (Zone IV), e) Very low IFA (Zone V).
5.12.4 Each IFA category or zone may be subdivided in turn into a set of subzones that will be numbered, placing the Roman numeral of the zone first and, after a dash, the Arabic numeral of the corresponding subzone. The number of subzones deemed necessary may be separated. The criterion for separating the subzones will be that they share common or linked limiting factors. Each IFA zone or subzone must contain a list of positive and negative environmental attributes that favor or limit the development of human activities (see reference Table in Annex No. 1). The criterion for separating the integrated IFA categories follows the same logical process applied to the integrated IFA - Geoaptitude, indicated in 5.8.4 and Annex 1.
5.12.5 Based on the IFA zoning information and the technical limitations and potentialities of the different zones, the types of recommended and non-recommended uses that may be given to the land will be established, and also the technical conditions that will define the development of those activities, works, or projects (see reference Table in Annex No. 1).
5.13 Procedure for Applying the IFA to Already Prepared Regulatory Plans and Other Types of Land-Use Planning 5.13.1 Current regulatory plans and other types of land-use planning for which an adjustment or insertion of the environmental variable is desired through the Environmental Fragility Index method must comply with the following basic steps:
- a)Develop the IFA methodology for the study area according to the procedure indicated in points 5.1 - 5.12 of this procedure. The IFA zoning must be carried out at the same scale as the existing land-use zoning map.
- b)Once the IFA zoning map is finalized, overlay both maps, the current planning map and the prepared IFA map.
- c)For those zones where the current and planned use is consistent with that established in the IFA zoning, proposals for streamlining the EIA process will be established according to what is set out in the General EIA Regulation administered by SETENA.
- d)In the event that there is disharmony between the IFA zoning and the land-use planning zoning, the technical limiting factors will be added to those land-use zonings established in the current planning, in such a way that it guides their development and facilitates their processing, promoting the corresponding legal modification to the Regulatory Plan or instrument that formalizes land use.
- e)For those cases where there is evident incompatibility between the IFA category and the proposed land-use planning, a Readjustment, Adjustment, and Incentives Plan (Plan de Readecuación, Ajuste e Incentivos, PRAI) will be established, allowing the correction of the incompatibility situation with a proposal for the gradual or phased relocation or transfer of incompatible activities, promoting the corresponding legal modification to the Regulatory Plan or instrument that formalizes land use.
- f)When, due to the condition of the IFA analysis and its multifactorial perspective, an evident incompatibility is detected, based on a legal aspect, said zone will be defined as a land-use conflict area, for which the corresponding authorities must establish a procedure that promotes the solution of said use, which, in any case, must always consider the criteria of technical limitations and potentialities derived from its IFA condition.
5.13.2 In those geographical spaces where significant anthropic land occupation already exists, as part of the integration of the environmental variable, a basic Cumulative Effects Assessment must be included, determining the land use/overuse condition considering the IFA data as a basis and, additionally, the environmental carrying capacity conditions for the following basic themes (in general):
- a)Water source, with particular emphasis on water for human consumption (taking into account climatic factors -including vulnerability to climate change-, for both surface and groundwater).
- b)Air quality, regarding: i) Emissions, ii) Immissions, iii) Ionizing and non-ionizing radiation.
- c)Production and management of solid waste (ordinary and special).
- d)Production and management of liquid waste (wastewater and stormwater).
- e)Balance of green areas (biotopes) and land use in infrastructure.
- f)Degree of land occupation with waterproofing works and effects on the quality of the possible phreatic aquifers underlying the study area.
- g)Balance of use and protection of landscape resources.
- h)Intensity of human occupation regarding the environmental carrying capacity of the geographical space, defined according to current conditions, planning, and IFA data.
5.13.3 The information generated as a product of the Cumulative Effects analysis will be summarized in the form of a land use/overuse map, which will separate three types of zoning, namely: critical overuse, overuse, and balanced use. They will be respectively designated with three colors: intense red, light red, and green. The information generated by this study may be used in the Prognosis and the Proposal of the Regulatory Plan and for decision-making on new land uses to be developed, as well as for the development of environmental sanitation, correction, and recovery strategies, including, as part of this, the topic of payment of environmental services for rehabilitation and environmental improvement areas.
5.14 Technical Requirements 5.14.1 OAT CONSULTANTS 5.14.1.1 The consulting team working on the development of IFA maps must comply, in addition to the requirements established in current legislation for professional practice, with the following conditions:
- a)Be registered in the Environmental Consultants Registry (Registro de Consultores Ambientales) maintained by SETENA, in accordance with the provisions of the Organic Environmental Law (Ley Orgánica del Ambiente) and the pertinent regulation.
- b)Have basic knowledge of the application of the territorial environmental planning (ordenamiento ambiental territorial, OAT) methodology (40-hour course on the subject).
- c)Have the capacity to carry out field work.
5.14.1.2 Within the professional team responsible for and coordinating the OAT process, support must be provided by professionals in specific disciplines, such as geology, biology, geography, archaeology, sociology, agronomy, and urban planning, among others, when deemed necessary and in accordance with the provisions of the country's current legislation on the professional practice of specific subjects.
5.14.1.3 Environmental Responsibility Clause for the information provided: the professionals who participate as part of the technical teams that prepare or process thematic information for the development of IFA zoning maps for a given geographical area must sign the final document submitted to SETENA regarding the subject matter they addressed. As part of that signature, the following environmental responsibility clause shall be subscribed: "The consultant subscribing to this thematic information is directly responsible for the scientific technical information provided herein. By virtue of this, the National Environmental Technical Secretariat (Secretaría Técnica Nacional Ambiental, SETENA), as the environmental authority of the Costa Rican State, shall verify that the document submitted has complied with the technical guidelines established through this procedure, and if these are met, shall accept the information presented as true and accurate, by way of a sworn statement. Based on the data provided, and considering the uncertainty factors set forth in the report, SETENA may be making decisions regarding the Environmental Viability (Viabilidad Ambiental) of the land use proposed based on that information, so that in the event that false or erroneous information is provided, the signatories shall be responsible not only for this fault, but also for the consequences of the decision that SETENA has incurred based on that data." 5.14.2 WORK SCALE 5.14.2.1 IFA maps must be prepared according to the technical and legal requirements of the territorial planning to be carried out. As a guide, it should be confined within the following typology:
- Type A: equal to or greater than 1:100,000 (national planning or planning of specific national development regions).
- Type B: between 1:50,000 and 1:100,000 (subregional planning using primary or secondary hydrographic basins as the basis for territorial administration).
- Type C: 1:5,000 - 1:50,000 (local planning, municipal or local regulatory plans).
- Type D: less than 1:5,000 (local technical studies of properties).
5.14.2.2 In the event that, as part of the supporting information for the preparation of IFA maps, thematic maps presented at other scales are used, and there are no other alternatives for using that information at the work scale, this must be expressly indicated in the text of the report and on the map, also indicating an explanation of the uncertainties and limitations arising from that fact.
5.14.2.3 In order to maintain consistency regarding the land-use guidelines that could be derived from the IFA maps, the hierarchy of said guidelines shall be respected by virtue of the scale used, in accordance with the following criteria:
- a)Land-use guidelines derived from larger scales (Type A or B, for example) shall be maintained, until such time as there are guidelines derived from technical studies that apply the IFA methodology at a smaller scale (Type C, for example).
- b)Land-use guidelines, at a smaller scale, may only modify the larger-scale guidelines if they technically justify the reasons for the change.
- c)When the technical guidelines derived from the application of the IFA methodology at two different scales do not generate full coincidence, in consideration of the principle in dubio pro natura, the land-use guidelines that consider the highest degree of environmental fragility (fragilidad ambiental) shall be applied.
5.14.3 GEOGRAPHIC INFORMATION SYSTEM 5.14.3.1 All generated information must be digitized and processed with the assistance of a modern, user-friendly Geographic Information System that allows the incorporation of weight and value data according to the procedure described herein.
5.14.4 FORMAT OF MAPS AND REPORTS 5.14.4.1 An IFA map must be generated for each of the factors contemplated in the procedures described in Section 5 of this document.
5.14.4.2 All maps must meet the following minimum format requirements:
- a)Coordinates in Lambert projection, properly numbered.
- b)Geographic reference coordinates in the corners.
- c)North arrow and graphic and numerical scale.
- d)Overlaid grid square with 1 km distances.
- e)Legend explaining the color symbology used on the map.
- f)Location of towns and other reference road infrastructure.
- g)Names of the most representative towns, as a reference.
- h)Location of rivers and other water bodies whose scale allows them to be included on the map.
- i)Reference to the Guide Table explaining the symbology.
- j)Professionals responsible for the preparation.
- k)Title of the map, and l) Other specific thematic information deemed appropriate for inclusion by the responsible professional.
5.14.4.3 Maps must be submitted in a small format (letter size) as part of the technical reports. However, they shall be included at the corresponding scale within an atlas that compiles all the prepared maps and is presented as an Appendix to the Technical Report.
5.14.4.4 Technical reports on the IFA maps must be submitted in letter-size format and must include a description of all the products generated during the work, according to the thematic scheme of Section 5 of this document. Regarding the detail of the thematic content of the reports, SETENA has prepared a guiding Table of Contents presented as Annex No. 4 (Anexo Nº 4) of this document.
5.15. Types of land-use planning instruments to which the IFA methodology can be applied 5.15.1 The IFA methodology can be applied to any type of land-use planning in which the development of activities, works, or projects is proposed as a consequence of its implementation.
5.15.2 Plans to which the IFA methodology can be applied include: cantonal and maritime-terrestrial zone regulatory plans, master plans for tourism development, land-use planning programs for geographical units larger than the territory of a canton, including primary or secondary hydrographic basins, and even territorial planning (ordenamiento territorial) programs at the national level. The IFA methodology can also be used as a basis for preparing cantonal regulatory plans for natural disaster prevention and for programs for the management, use, and conservation of renewable and non-renewable natural resources, such as surface and groundwater resources, soils, forests, mining, hydrocarbons, and energy development, among others.
5.15.3 For all the cases indicated in the preceding paragraph, the application of the IFA methodology has a double advantage for the user. First, it allows the environmental impact variable to be inserted at a very early phase of the development planning process, thereby ensuring better harmonization between environmental impact and the productive process. Second, it allows for the identification of activities, works, or projects with low and moderate-low potential environmental impact that could be developed and that could undergo a more agile and faster EIA process than they would have to if the environmental impact variable were not introduced into the plan. Even under these terms, activities, works, or projects with moderate-high and high potential environmental impact, although they must undergo an EIA process, could benefit in terms of the number of requirements to be met, due to the environmental technical information obtained beforehand through the application of the IFA methodology.
5.15.4 According to the conditions established in this Procedure, the various types of plans that can benefit from the application of the IFA methodology are not limited to those that would begin their preparation after the publication of this instrument, but also those others that have already been prepared and are under implementation. As established by the procedure, the areas that have not yet been developed would be covered by the results of the IFA procedure, so that the proposed development would not be hindered, but would be subject to the technical and environmental limitations and potentialities established by the IFA methodology. The only exception to this condition would be the critical zones that may be detected, which, in themselves, due to their nature of illegality, should be an advantage to find before any type of development is proposed in them.
5.15.5 Because SETENA receives master plans for tourism development in the coastal zone with some regularity, and in order that, in addition to the application of the IFA methodology, the plan promotes effective sustainable development, a series of design and development guidelines have been proposed as principles and restrictions, which are presented in Annex 5 (Anexo 5) of this Procedure. Compliance with these principles and restrictions, which are based on those established by the Costa Rican Tourism Institute (Instituto Costarricense de Turismo) and the National Institute of Housing and Urbanism (Instituto Nacional de Vivienda y Urbanismo), and on other common environmental guidelines, may make the processing of this type of instrument even more expeditious and streamline the EIA processing of its individual projects. Through individual instruments, SETENA may generate new environmental principles and restrictions for other types of plans.
6. PROCEDURE FOR CARRYING OUT THE ENVIRONMENTAL SCOPING REPORT OF THE PROPOSED DEVELOPMENT 6.1 Technical bases of the analysis 6.1.1 The final product of the application of the IFA method, in accordance with what is indicated in Section 5 above, is a land-use zoning map according to environmental fragility, with a basic guide on the environmental technical limitations and potentialities for each identified zone or subzone. As complementary products of this map, overlay maps are also obtained regarding current land use and planned use, in order to distinguish zones of conformity and non-conformity, as well as the analysis of land use and overuse and its environmental qualification.
6.1.2 The results of the IFA method on future land use or on the identified overuse conditions establish recommendations by way of technical guidelines for decision-makers to consider regarding concrete corrective actions related to current occupation and the planning of future development.
6.1.3 Once a basic development proposal is available that has considered the results of the IFA methodology, it is possible to carry out an analysis of the environmental scope of that development proposal, the purpose of which is the application of the basic principles of Strategic Environmental Assessment (Evaluación Ambiental Estratégica, EAE), in order to effectively integrate the environmental impact variable within the planning of development and land use in the geographical area under study.
6.1.4 This Section provides the technical guidelines to be followed for carrying out this environmental scoping analysis of the proposed development and land use; also establishing the limitations of the method when it is not applied at the level of a larger administrative territorial unit, such as a hydrographic basin.
6.2 Basic conceptual framework and technical limitations 6.2.1 The Environmental Impact Assessment (Evaluación de Impacto Ambiental, EIA) of projects, works, or activities, including their environmental monitoring once they are environmentally authorized, can be complemented by an instrument thereof, which is the Strategic Environmental Assessment (EAE), and which is applied to policies, plans, and programs, which, due to its nature and theoretical-methodological principles, is used at an earlier stage in the planning process and with a temporal-geographic scope on a larger scale than the classic EIA.
6.2.2 Within Chapter VII of the General Regulation on Environmental Impact Assessment (Reglamento General de Evaluación de Impacto Ambiental), several instruments and general guidelines are incorporated for the introduction of the environmental impact variable within strategic planning, including territorial planning at scales different from those used in regulatory plans and for larger geographical contexts, such as the primary hydrographic basins that exist in the country and which, generally, include several cantonal territories and would therefore include several individual regulatory plans. This guideline is included in the sense that SETENA is clear that the introduction of the environmental variable in territorial planning is a procedure that cannot be limited solely to the individual sum of local (cantonal or municipal) plans, but that there must also be larger-scale planning promoted by the State and its institutions, which encompasses, complements, and organizes them within a logical and coherent framework, and which also prevents the development of conflicts between various regulatory plans within the same hydrographic basin or territorial environmental administration unit.
6.2.3 The instruments introduced include the Strategic Environmental Assessment of sectoral policies, plans, and programs, the integration of the concept of the territory's environmental fragility, the Assessment of Cumulative Effects (Evaluación de Efectos Acumulativos, EEA), among others. These instruments are fundamentally included to be used at the regional or national level, as complementary tools for national planning and as an effective way to integrate the environmental impact variable into it. Consequently, it should not be understood that they must be applied in their entirety as part of the introduction of the environmental impact variable within Regulatory Plans, since these, because they are developed in a politically-administratively limited geographical space, which in most cases does not encompass a primary hydrographic basin, can only integrate said thematic partially, so that it is concatenated within a larger-scale policy or plan that does encompass, at a minimum, the primary hydrographic basin in which the territory of the regulatory plan in question is circumscribed.
6.2.4 In this way, it must be clear that the integration of the environmental impact variable into regulatory plans, in accordance with the procedures that SETENA has established based on a criterion of reasonableness and compliance with the scientific and technical principles governing the matter, will represent the local vision and will be limited to the jurisdictional territory covered by the canton or territory subject to planning within the regulatory plan. This will have practical validity and applicability insofar as the solutions and proposals for ecological balance contemplated by the procedure are achieved within that jurisdictional territory.
6.2.5 In the event that for certain specific territorial areas or specific themes, the situation cannot be resolved comprehensively because it depends on factors external to the territory subject to the plan, they will either remain subject within the same regulatory plan to a definitive solution until the issue in question is resolved on a broader territorial scale, or a well-supported technical proposal for its overcoming is reached, which necessarily implies joint work by several municipalities and other institutions, which will be subject to approval by the corresponding authorities, including SETENA on the EIA topic.
6.2.6 From what has been discussed in the two previous sections, it must be clear that the introduction of the environmental impact variable into development planning, including regulatory plans, does not represent carrying out an Environmental Impact Assessment of the Regulatory Plan, and even less so carrying out an Environmental Impact Study thereof, an instrument that corresponds to another level of analysis within Environmental Assessment. As previously indicated, the introduction of the environmental impact variable within regulatory plans, for example, is carried out according to a series of different steps—regarding the scale and timelines applied—than those followed in environmental impact assessments or environmental impact studies themselves.
6.2.7 In the introduction of the environmental impact variable within regulatory plans, or more generically, in land-use planning, the fact that the technical limitations and potentialities of the geographical space in question are the platform on which the process is based, and not necessarily the type of human development to be planned, is fundamental. Unlike the EIA, where the activity, work, or project is superimposed on those technical limitations or potentialities, in this case, it is those technical limitations or potentialities that, following the application of the environmental premise of development, condition and limit the type of progress to be planned. On this basis, it is possible to achieve appropriate adjustments to activities, works, or projects at very early stages of their development, which, in itself, is another of the great advantages provided by this technical procedure that, in turn, allows for streamlining, in a reasonable manner, the EIA process for specific activities, works, or projects.
6.3 Procedure for carrying out the environmental analysis 6.3.1 The way in which the objectives stated in the previous section are achieved and the integration of the environmental impact variable into land-use planning is materialized, and in particular into regulatory plans, follows a logical succession that SETENA has harmonized jointly with the authorities of the National Institute of Housing and Urbanism in the Manual for the preparation of Regulatory Plans that complements this instrument.
6.3.2 The technical procedure for carrying out the environmental analysis of the land-use proposal included as part of the regulatory plan or the respective territorial planning, and which complements the IFA methodology and the development of the Regulatory Plan itself, comprises the so-called Environmental Analysis (Análisis Ambiental).
6.3.3. The Environmental Analysis follows a logical scheme similar to that of the Regulatory Plan or the territorial planning instrument, based on a Diagnosis, Prognosis, and Proposal, integrating some basic elements of strategic environmental assessment applied at the local level, such as:
- a)Diagnosis of the general environmental condition of the territory, based on the Environmental Fragility Index (Índice de Fragilidad Ambiental, IFA) of the geographical space in question; b) Future environmental condition scenario regarding the current situation of use, overuse, and pressure on natural resources, c) Identification of new proposed development and conservation elements, d) Scenario of the addition of new pressure on the natural resources and environment of the territory in question, e) Consistency analysis of the territory's development proposals, including both external and internal sources thereto, f) Analysis of the general environmental scopes of the proposed development and general environmental effects, and g) General environmental measures that should be included by way of guidelines and strategic actions to be incorporated as part of the regulatory plan in question, as well as the system for their control and monitoring.
6.3.4 In the General EIA Regulation (Reglamento general de EIA), the fact has been contemplated that for those regulatory plans or other types of territorial planning where the environmental impact variable is integrated effectively and efficiently, the EIA procedure for the activities, works, or projects intended to be developed within their jurisdictional territory may be simplified, particularly for activities with low and moderate potential environmental impact (as established in said regulation and particularly in Annex 2 (Anexo 2) thereof), because their development location within the Regulatory Plan already contemplated the environmental impact theme at the scale required to articulate and streamline the process.
6.3.5 In consideration of what is indicated in the preceding paragraph, the Environmental Analysis must lead to, as its final product, the generation of a technical-juridical instrument that, by way of a formalized regulation (Regulation for Sustainable Development of the geographical space under analysis) through the process of granting environmental viability (viabilidad ambiental), serves as the basis for standardizing and guiding the environmental control and conditioning of the execution of the development within the territory under study. This is provided that the regulation of the Regulatory Plan has not generated specific conditioning for certain special areas thereof, which could also apply to certain activities, works, or projects of higher potential environmental impact. With this mechanism, the aim is to achieve a balance between the environmental evaluation process and the streamlining of the procedures that citizens must comply with before the State, in particular, by eliminating the repetition of procedures.
6.4 Diagnosis of the general environmental condition of the territory 6.4.1 This component is carried out using as a basis the results of the IFA mapping and in particular the Assessment of Cumulative Effects indicated in section 5.13.2 of this Procedure, and the technical inventory carried out by the Regulatory Plan on topics such as:
- a)Land use and overuse, according to current occupation.
- b)Existing pressure on the environment considering the following environmental factors: (i) air, (ii) soil/subsoil, (iii) surface and groundwater, (iv) flora and fauna (biotopes), (v) vulnerability to natural and anthropogenic hazards/risks, and (vi) cultural resources (cultural heritage, landscape, archaeological resources).
- c)Identification of cumulative environmental effects occurring in the territory under analysis, using topics such as: (i) emissions and immissions, (ii) intensity of land occupation and degradation, (iii) discharge of wastewater into surface and groundwater bodies, (iv) generation of ordinary and special solid waste, (v) use and exploitation of other natural resources.
6.4.2 The Diagnosis of the general environmental condition must be synthesized by means of a Leopold matrix for identifying and assessing the intensity and magnitude of environmental impacts, on the basis of which a list of the main environmental impacts and cumulative effects currently occurring in the territory under analysis must be made.
6.5 Future environmental condition scenario regarding the current situation of use, overuse, and pressure on natural resources 6.5.1 This involves making a projection of the environmental situation that the territory under analysis would have if the situation of identified negative environmental impacts and effects were to continue, and if no environmental measures were implemented to mitigate or correct them. Its preparation is carried out in accordance with the results of the previous section, the results of the IFA map, and the prognosis of the Regulatory Plan. From the latter, among other data, population growth projections, the trend of urban growth, and economic development (sectoral and supra-sectoral) of the territory in question must be taken into account.
6.5.2 When possible, the Future Environmental Condition Scenario may be reinforced with maps, tables, or analysis matrices that clarify the environmental perspective of the geographical space in question if current pressure trends on the environment are maintained.
6.6 Identification of new proposed development and conservation elements 6.6.1 Based on the development or conservation proposal established in the Regulatory Plan, an identification must be made according to the different established categories of land use (high, moderate, and low-density residential, industrial, commercial, mixed, agricultural, agro-livestock, forestry, or conservation, among others). These zones must be arranged as the first column of an Analysis Table (see Annex 6 (Anexo 6) of this Procedure), whose second column must establish the potential environmental impact category (categoría de impacto ambiental potencial, IAP) to which the activity, work, or project with the greatest environmental impact/risk that could be located belongs or is circumscribed.
6.6.2 As the third row of the Analysis Table, and for each of the different land-use categories established by the Regulatory Plan proposal, they must be linked to the IFA zone category in which it has been established. Subcategories must be developed in cases where a given land use is located on different types of IFA zones.
6.6.3 As the fourth column, the synthesis of the technical environmental limitations established by the IFA methodology developed in Chapter 6 of this procedure must be placed.
6.6.4 If non-conformities are still found between the proposed land use and the established technical limitations, the corresponding adjustments to the development proposal of the Regulatory Plan must be made, until there is concordance between both components.
6.7 Scenario of the addition of new pressure on natural resources and the environment of the territory 6.7.1 In the Analysis Table prepared in Section 6.6 above, a new and fifth column called "environmental factors to be impacted" must be added, separated into thematic rows that include the following factors: a) air, b) soil/subsoil, c) surface water, d) groundwater, e) flora/fauna (biotopes), f) vulnerability to natural hazards, g) cultural resources, h) pre-existing human communities, and i) landscape.
6.7.2 For each of the intersection cells between the proposed land-use categories or subcategories and the rows of environmental factors in column 6 of the Environmental Analysis Table, a rating of the intensity and magnitude of the potential environmental impact relationship that could occur must be established, according to a methodology similar to that of the Leopold matrix, and based on a scale of 1 to 10 for both topics. In this rating, and when necessary, the responsible evaluator must take into account the thematic information data summarized in each of the thematic axes or factors of the IFA developed in Chapter 5 of this procedure.
6.7.3 For those cells where the rating of potential impact on the given environmental factor results in a value equal to or greater than "moderate", i.e., greater than 4/4, an environmental impact sheet must be prepared and filled out.
6.7.4 The Environmental Impact Sheet shall include, in its development, the following topics: a) IFA zone or subzone where the potential impact will occur, b) technical limitations identified, c) type of current land use, d) type of proposed land use according to the established IAP category, e) environmental impact on the given environmental factor, which will take into account the pressure or requirement on the environmental factor in question regarding its average potential use and also the effect or environmental impact that could occur during the phase of greatest impact (construction or operation) of the proposed development.
6.7.5 At the end of the process of identifying pressure (by use or impact) on environmental factors, a general synthesis must be carried out by factor that summarizes an overall balance of the entire development proposal and indicates the resource requirements that will be necessary in accordance with the development proposal of the regulatory plan. This projection may be carried out according to temporal phases or stages if necessary. The topics for which installed capacity exists within the territory under planning shall be left in green condition, those for which a contribution from outside the study area is necessary and for which it is indicated that contribution capacity exists shall be left in yellow condition, and finally, those for which there is no contribution, neither internal nor external, shall be left in red condition.
6.8 Consistency analysis of the territory's development proposals 6.8.1 Given that the geographical space under analysis is circumscribed within a larger geographical space, it is necessary for the local development proposal to take into account the positive or negative effects that more regional or national development proposals could have, and which relate differently to the territory under analysis.
To carry out this analysis, the research conducted and presented by the consulting team that prepared the Regulatory Plan must be taken into account, or, failing that, a rapid investigation at the State institutions responsible for coordinating and planning the country's supra- and sectoral development.
6.8.2 The Consistency Analysis may be carried out in a matrix format, placing each of the following development themes in the rows:
- a)New energy generation sources and their coverage.
- b)Energy transmission or distribution lines and substations.
- c)Communication signal distribution installations.
- d)Aqueduct and water supply systems.
- e)Sanitary sewer systems.
- f)Storm sewer systems.
- g)Sanitary landfills or transit or access routes to them.
- h)Potential mining exploitation sources.
- i)Sites for spoil tips (escombreras) or material fills.
- j)Road infrastructure (national or cantonal highways), including bridges.
- k)Development of stabilization works or soil recovery due to natural hazard issues.
- l)Development of programs for the conservation, recovery, or improvement of forest cover (cobertura boscosa) through payment for environmental services (Pago de Servicios Ambientales).
- m)Development of protected areas, linked to biological corridors and their connectivity, or to the protection of natural biotopes of special condition, among others.
- n)Tourism development in its different modalities.
- o)Development of agricultural, agricultural-livestock, or agroforestry zones.
- p)Development of zones of interest from a cultural heritage perspective.
- q)Development of zones of scenic interest, and r) Other relevant types of sectoral development.
6.8.3 The territory under analysis may be divided into as many sectors as necessary, and for each of them, or for the entire analysis area, the corresponding datum shall be entered in the intersecting cell. In the event that official information generated by the responsible institution is not available, the datum "NHIOD" (No Official Information Available) must be entered, in which case the use potential of the zone from a local perspective will lack higher-scale consideration at the time the decision is implemented.
6.8.4 For the planning datum issued by the responsible institution to be official, it must be circumscribed within a development plan that has been prepared and approved, or, failing that, is in preparation, in which case an official letter issued by the corresponding institution will intercede. The lack of availability of any of the development themes, following the official request by the local authority of the territory where the planning in question is conducted, will imply the placement of the NHIOD datum in the corresponding cell.
6.8.5 In those cases where information on a development theme is obtained, the scope of said theme regarding the established planning and the manner in which it has been considered therein must be indicated. In the event that contradictions arise between both planning schemes, they shall be pointed out and the respective plan for their solution shall be outlined.
6.9 Analysis of the general environmental scopes of the proposed development and general environmental effects 6.9.1 As a summary of the environmental analysis work carried out through the application of the procedures established in sections 6.4 to 6.9, the set of environmental impacts that the proposed new productive development would generate shall be organized, considering the aspects of: (i) geographical space, (ii) productive activity, and (iii) environmental factor involved.
For this, the themes of cumulative impacts and environmental scope derived from the consistency analysis will be taken into account.
6.9.2 Once the generic environmental impacts that could be generated from the proposed new development have been identified, their individual characterization shall be carried out according to the assessment elements established by SETENA in the environmental impact assessment methodology published as part of its EIA Manual.
6.10 General environmental measures that should be included as guidelines and strategic actions 6.10.1 For each and every one of the generic environmental impacts identified by the Environmental Analysis process, the set of general environmental measures that should be incorporated as part of the implementation of the proposed development activities, works, or projects shall be defined.
6.10.2 The general environmental measures that are defined will include preventive, mitigation (minimization), and environmental compensation actions due to the potential impacts that could occur.
6.10.3 In all cases, these environmental measures will support and complement the environmental measures specifically required by the current regulatory framework, including the Code of Good Environmental Practices.
6.10.4 The environmental measures may be organized as a generic Environmental Management Plan so that they are applied directly by Category C and B2 activities, works, or projects which, in accordance with the General Regulations of Environmental Impact Assessment Procedures, will only comply with the environmental registration process by submitting the D-2 Environmental Document.
6.10.5 Regarding Category B1 and A activities, works, or projects, the environmental measures may be incorporated as specific environmental protocols to be included for the environmental control of significant impacts, as part of the D-1 Environmental Assessment Document.
6.11 Report Format 6.11.1 The Environmental Analysis report must be submitted as an executive document that develops all the previously described sections from 6.4 to 6.10 as explanatory chapters, accompanied by the tables and matrices described in this Section.
6.11.2 The report in question must be presented as a complementary, but separate document from the IFA methodology application Report and from the Regulatory Plan itself, although the latter two may be presented in a combined form.
6.11.3 The report shall be submitted in print and digital form, in the conventional format applied by SETENA for Environmental Impact Studies (Estudios de Impacto Ambiental).
6.12. Requirements for the preparation of the report 6.12.1 The Environmental Analysis report must be signed, at a minimum, by a professional specializing in environmental impact assessment (evaluación de impacto ambiental) with knowledge of strategic environmental assessment, who will assume responsibility for the technical coordination of the document.
This professional must be duly registered with SETENA's registry of environmental consultants.
6.12.2 In addition to the signature of the coordinator of the Environmental Report, the signatures of other professionals who participated partially in the preparation of the report may be presented. These professionals must be duly registered in SETENA's registry of environmental consultants and may be the same team that worked on the application of the IFA methodology and the Regulatory Plan itself.
6.12.3 The reports may be submitted by environmental consultants as natural persons (personas físicas) or legal entities (personas jurídicas), in accordance with the provisions of the General Regulations of Environmental Impact Assessment Procedures.
6.12.4 In all cases, the environmental responsibility clause indicated in paragraph 5.14.1.3 of this Procedure shall apply.
7. PROCESSING PROCEDURE BEFORE SETENA 7.1 Documents to be delivered to SETENA 7.1.1 The authority or entity responsible for preparing the Regulatory Plan or land-use plan (plan de uso del suelo) in question must deliver one printed copy and one digital copy of the complete documents thereof, including the application reports for the IFA methodology and the Environmental Analysis. In the case of the IFA methodology report, it is accepted that its subject matter be developed within the Regulatory Plan document, provided they were developed simultaneously.
7.1.2 The documents indicated in the preceding paragraph shall be delivered to SETENA's headquarters, accompanied by a formal transmittal letter from the official representative of the authority or entity responsible for the Regulatory Plan.
7.1.3 At the time of receiving the documentation, SETENA shall assign an expediente number that will follow a previously established consecutive sequence, with the prefix EAE and the suffix SETENA. For consultation and official record matters, all interested parties shall use said expediente number as a reference.
7.2 Technical Review Procedure of SETENA 7.2.1 In order to effectively and efficiently articulate the review process for the Regulatory Plans submitted to SETENA, and in particular, the incorporation of the environmental variable in them, this Technical Secretariat shall have a basic, multidisciplinary technical team for strategic environmental assessment (EAE) whose responsibility shall be the review of the documentation and the preparation of the Technical Opinion (Dictamen Técnico) for SETENA's Full Commission.
7.2.2 The EAE technical team, as it will be known, shall have a coordinator who will be responsible for organizing all activities related to the review process, including strict control of the deadlines established in this instrument.
7.2.3 For the execution of the technical review process, SETENA shall apply a form as a checklist and for recording and assessing technical observations on the documents under review. This form shall be for SETENA's internal use, and at the end of the process, it will be used as the basis for drafting the Technical Opinion that will be forwarded to SETENA's Full Commission.
7.2.4. Based on the application of the environmental responsibility clause, the EAE technical team shall have the fundamental mission of overseeing compliance with the methodological steps indicated in this instrument and evaluating and monitoring the logical and technical-scientific consistency of the documents. In consideration of this, it shall accept the data as true and make the corresponding decisions, without bearing any responsibility for the provision of false or erroneous data, in which case the responsibility and consequences shall rest with the professionals signing the documents provided.
7.2.5 At SETENA's discretion, direct environmental inspections of the territory in question may be conducted, as well as the use of possible information means in order to enrich and improve the technical review process of the documents. This is provided that the application of these methods does not imply delays in meeting the response deadlines set for SETENA in this instrument.
7.3 Technical Opinion of SETENA 7.3.1 Once the document review process is completed, SETENA's EAE technical team shall prepare the Technical Opinion on its results.
7.3.2 The Technical Opinion shall follow a conventional format that SETENA shall design for that purpose, but which shall include, as fundamental themes, the main conclusions of the process, recommendations on the process control and monitoring mechanisms, and the EIA processing conditions that will apply to projects, works, or activities developed in the territory under analysis. It shall also include the set of criteria or environmental indicators considered necessary and fundamental for developing an effective process of control and monitoring of the degree of compliance with the planning proposal and its integration of the environmental variable.
7.3.3 The Technical Opinion must be signed by the EAE technical team, headed by its coordinator.
7.4 Request for additional information or rejection of the documents 7.4.1 In the event that the documents submitted for review to SETENA present technical deficiencies, and at the discretion of the EAE Technical Team, its coordinator may request, on a single occasion, by means of an official communication that must also bear the signature of SETENA's General Secretary, the clarification or submission of the missing information.
7.4.2 As part of the official communication indicated in the preceding paragraph, a deadline for submitting the requested information shall be set, a period of time during which the review period established for SETENA shall be suspended.
7.4.3 In the event that the information submitted to SETENA presents substantial shortcomings or significant substantive problems and non-compliance with the procedures indicated in this instrument, the technical team shall prepare an internal technical report and forward it to the Full Commission so that the respective Rejection Resolution and return of the documents may be prepared. This Resolution must be duly substantiated.
7.5 Granting of Environmental Viability (License) 7.5.1 In the event that the Opinion of SETENA's EAE Technical Team is affirmative, in the sense of approving the integration of the environmental variable in the proposed land-use planning, it shall be forwarded to SETENA's Full Commission so that the final decision on the documents in question may be made.
7.5.2 As part of the final decision process, SETENA's Full Commission, in addition to having all related documentation, may establish a technical hearing for the responsible authority or entity's representative and their consulting team to make a technical presentation of the proposal, in which the coordinator of SETENA's EAE team or a member thereof designated by the coordinator may also participate.
7.5.3 SETENA's Full Commission, in the exercise of the powers conferred upon it by current legislation, may modify, expand, or improve the terms of the Technical Opinion issued by the EAE team, as part of the approval of the documentation and the granting of the respective Environmental Viability (License) (Viabilidad (licencia) Ambiental).
7.5.4 As part of the granting of the Environmental Viability (License), the Sustainable Development Regulation of the Regulatory Plan in question would be included, if it had been submitted as an annex to the Environmental Analysis Report, and as a synthesis instrument on the environmental management guidelines that will govern socioeconomic development and environmental conservation activities to be implemented in the territory covered by the plan. In the event that the regulation in question met the terms established in the review process of the integration of the environmental impact variable and the affirmative technical opinion covers it, SETENA's Resolution would annex said regulation as part of the granting of the Environmental Viability (License).
7.5.5 SETENA's Resolution shall be notified to the representative of the authority or entity responsible for the plan and the documentation delivered to SETENA within the deadlines established in current legislation.
7.6 Deadlines to be met by SETENA 7.6.1 For the review of the documents for integrating the environmental variable into land-use planning, SETENA shall have a maximum period of 12 weeks.
7.6.2. The indicated period may be suspended only when the submission of additional information has been requested, a period during which the time count for review shall be suspended.
7.6.3 Only in duly justified cases may the review period by SETENA be extended. For this, an official letter from SETENA to the interested party must intercede, informing them of the new deadline and providing technical justification for said decision. This procedure does not apply to the case of requesting extensions and may only be applied on a single occasion.
7.6.4 SETENA officials who delay the document review process without a formal justification endorsed by the authorities of said Technical Secretariat shall be sanctioned according to the current and established procedures on the functioning of SETENA.
7.7 Access to information 7.7.1 The authority or entity responsible for preparing the land-use plan, whose integration of environmental variable is the subject of analysis by SETENA, must facilitate public access to the information contained in the documents submitted to said Technical Secretariat.
7.7.2 SETENA's Resolution on the approval or, failing that, non-approval of the submitted documentation must also be available to the public for consultation.
7.7.3 SETENA's administrative expediente must be accessible to the interested public once the review process is completed and the resolution is issued.
7.8 Technical hearings requested by SETENA's EAE Team 7.8.1 The EAE team, during the documentation review process and if deemed necessary, may grant up to a maximum of three technical hearings to the consulting team responsible for its preparation, and in particular, for integrating the environmental impact variable into the planning.
7.8.2 The technical hearings may be held at SETENA's headquarters or, failing that, at a site previously determined in the territory whose documentation is under review by SETENA. For this, the terms of the current legislation regarding this type of technical activities between interested parties must be met.
7.8.3 The objectives of the technical hearings shall be established by SETENA's EAE team, as well as the invitees and other participants therein. Said hearings shall not have a binding nature, and their primary purpose shall be the discussion and clarification of technical aspects included in the documentation under review.
7.8.4 The decision and organization of a technical hearing must be made with a maximum notice of 8 days. For the commencement of its execution, the coordinator of the EAE team must send a note to the representative of the authority or entity responsible for the plan, who will be responsible for its organization.
7.8.5 SETENA's EAE team may draft minutes of the hearing, which shall be attached to the documentation Review Form.
8. MODIFICATION AND EFFECTIVE DATE 8.1 Modification and adjustment 8.1.1 SETENA, in coordination with the Joint Support Commission for the EIA process, shall conduct a biennial review of this procedure and shall proceed to make technical adjustments to it. Such technical adjustments may also be made at the suggestion and observations of interested third parties. All suggestions for review and analysis must be submitted in writing and with due technical justification.
8.1.2 All technical adjustments made to the current procedure must be documented and duly justified. Their effective date shall be defined by SETENA, and in no case shall they be retroactive.
8.2 Effective Date 8.2.1 This technical procedure shall enter into force upon its publication.
Guidance tables for the application of the IFA methodology Introduction Below are the guidance tables for the rating of variables to be considered and integrated as part of the application of the Environmental Fragility Index (Índices de Fragilidad Ambiental) method.
The rating of the variables has been established according to internationally known technical and scientific bibliographic data and also by virtue of the practical application of the method in OAT programs previously developed by some authors; however, users of the system must be clear that the assessment indicated therein is for guidance and must not replace the expert judgment of the professional responsible for its application, who, by virtue of their knowledge, the available technical information, including that collected in the field, will ultimately determine the value to be included and, with it, the technical limitation or potential that must be considered in the process.
The thematic order of the variables has been arranged according to the logical sequence in which the themes are indicated in the Procedure.
The technical references indicated have been simplified to avoid extending the document extraordinarily.
In order to facilitate the process of review and oversight of the process, system users must maintain the same format of the tables, limiting themselves to citing them if they are used in full, or failing that, proposing their own tables, but with the same format indicated here, and marking the cells in which any type of change has been made, which must be duly justified from a technical point of view as a footnote at the bottom of the page.
| IFA Geoaptitude | 1 | 2 | 3 | 4 | 5 | | --- | --- | --- | --- | --- | --- | | LITHOPETROPHYSICAL | | | | | Rock hardness (Dureza de roca) | very soft / | soft / | firm / | very firm / | hard / | | | <5.0 NM/m² | 12.5 -5.0 NM/m² | 12.5-50NM/m² | 50-100 M/m² | >100 NM/m² | | Soil consistency or resistance (Consistencia o resistencia de suelo) | very consistent | consistent / | firm / | soft / | very soft /< | | | /> 0.6 NM/m² | 0.3 - 0.6 NM/m² | 0.15 - 0.3 NM/m² | 0.08 - 0.15 NM/m² | 0.08 NM/m² | | Lineation factor a (The "Lineation Factor" was defined by MENDE & ASTORGA (in press) to evaluate the structural lineation framework for a given terrain, which strongly influences rock hardness as well as permeability and hydrogeological characteristics. One way to evaluate this parameter is based on the interpretation of remote sensing data and data analysis with a geographic information system (GIS). Based on a lineation map, which includes all lineaments found within a given terrain, the three parameters (1) total length of lineations, (2) total number of lineations, and (3) total number of lineation intersections are calculated for each 100 m rectangle of the study area. The "Lineation Factor" is calculated by summing the values of the three parameters, normalized by dividing each value by the average of the respective parameter. The result is classified according to the five categories very high, high, moderate, low, very low. Another possibility for evaluating this parameter is the interpretation of field data regarding the density and connectivity of structural lineaments). | very high | high | moderate | low | very low | | Degree of weathering (Grado de meteorización) | Completely | | | | | | | (soil) | strong | moderate | low | not weathered | | | | | | (sound rock) | | | Soil layer thickness (m) | > 8.0 | 8.0 - 4.0 | 4.0 - 2.0 | 2.0 - 1.0 | < 1.0 | | Clay content | very high | high | moderate | low | absent | | Porosity / Apparent permeability according to field lithopetrophysical criteria | Very high, | High | Moderate | Low | Very Low | | | (> 50 %) | (30 - 50 %) | (15 - 30 %) | (5 - 15 %) | (< 5%) | | EXTERNAL GEODYNAMICS | | | | | | | Slope (%) | > 60 | 30 - 60 | 15 - 30 | 8 - 15 | 0 - 8 | | Relative relief | Very high | High | Moderate | Low | Very Low | | Drainage density (km/km²) | 0 - 2 | 2 - 6 | 6 - 10 | 10 - 14 | > 14 | | Importance of erosion processes (%/Km2) | very high | High | Moderate | Low | Very Low | | | (> 50) | (30 - 50) | (10 - 30) | (5 - 10) | (0 - 5) | | Importance of sedimentation processes (%/Km2) | very high | High | Moderate | Low | Very Low | | | (> 50) | (30 - 50) | (10 - 30) | (5 - 10) | (0 - 5) | | HYDROGEOLOGY | | | | | | | Drainage density of permanent streams (km/ km²) | 0 - 2 | 2 - 6 | 6 - 10 | 10 - 14 | > 14 | | Hydrogeological profile index | lithostratigraphic units that include aquifers with high production potential | lithostratigraphic units that include aquifers with low production potential, but within underlying units important aquifers are found | lithostratigraphic units that include aquifers with low production potential | lithostratigraphic units without known aquifers, but within underlying units aquifers with low production potential are found | lithostratigraphic units without known aquifers nor within underlying strata | | Lineation factor1 | very high | high | moderate | low | very low | | Infiltration potential | very high | high | moderate | low | very low | | LANDSLIDE HAZARD (AMENAZA POR DESLIZAMIENTOS) | | | | | | | Average monthly precipitation conditions for the three rainiest months of the zone | > 500 | 400 - 500 | 300 - 400 | 200 - 300 | < 200 | | Slope direction (versus dominant direction of lineations) | parallel | ------- | oblique / no dominant alignment | ------- | perpendicular | | NATURAL HAZARDS | | | | | | | Regional seismicity potential | > IX | VIII - IX | VII - VIII | VI - VII | V - VI | | Local seismicity potential | Very High | High | Moderate | Low | Very Low | | (Seismicity Index) | (> 10) | (8 - 10) | (6 - 8) | (4 - 6) | (< 4) | | Terrain liquefaction potential (see attached Table 1- Geoaptitude) | Very High | High | Moderate | Low | Very Low | | Surface fracture potential due to active geological fault | Active Geological Fault deformation zone On the trace of an active Active Geological Fault | - 0 - 50 m from a deformation zone an Active Geological Fault0 - 15 meters from the trace of an active geological fault | 50 - 100 from a deformation zone Active Geological Fault 15 - 30 m from the trace of an active geological fault | 100 - 200 m from a deformation zone of an Active Geological Fault 30 - 50 m from the trace of an active geological fault | > 200 m from a deformation zone of an Active Geological Fault > 50 m from the trace of an active geological fault | | Volcanic Hazard | Within a 3 Km radius of the active volcanic emission center Less than 50 meters from channels for potential mobilization of volcanic flows within a 3 Km radius of an active volcanic emission center | Within a radius of 3 to 5 Km of the active volcanic emission center Less than 50 meters from channels for potential mobilization of volcanic flows within a 3 - 5 Km radius of an active volcanic emission center | Within a radius of 5 to 10 Km of the active volcanic emission center Less than 50 meters from channels for potential mobilization of volcanic flows within a 5 - 10 Km radius of an active volcanic emission center | Within a radius of 10 to 20 Km of the active volcanic emission center Less than 50 meters from channels for potential mobilization of volcanic flows within a 10 - 20 Km radius of an active volcanic emission center | Within a radius of 20 - 30 Km of the active volcanic emission center Less than 50 meters from channels for potential mobilization of volcanic flows within a 20 to 30 Km radius of an active volcanic emission center | | Potential for Tsunami impact in coastal areas | Very High Facing the open sea in a bay area or estuarine channel between 0 and 2 masl | High Facing the open sea in a bay area or estuarine channel between 2 and 5 masl | Moderate Facing the open sea in a bay area or estuarine channel between 5 and 10 masl | Low Facing the open sea in a bay area or estuarine channel between 10 and 20 masl | Very Low Facing the open sea in a bay area or estuarine channel > 20 masl | | Flooding Potential (see attached Table 2 - Geoaptitude) | Very High | High | Moderate | Low | Very Low | Table No. 1. Geoaptitude Terrain liquefaction potential (by geoaptitude)
| Water Table Depth | Sandy Surface Formation Thickness | | | | |
|---|
| > 20 m | 15 - 20 m | 10 - 15 m | 5 - 10 m | < 5 m |
| 0 - 2 m | VH | VH | H | H | Mo |
| 2 - 4 m | VH | H | H | Mo | Mo |
| 4 - 6 m | H | H | Mo | Mo | L |
| 6 - 8 m | H | Mo | Mo | L | VL |
| 8 - 10 m | Mo | Mo | L | VL | VL |
Key: VH (Very High), H (High), Mo (Moderate), L (Low), VL (Very Low).
Table No. 2. Geoaptitude.
Flooding hazard | Position on river terraces and distance to river channel | Height in meters above the river water level under normal conditions | | | | | | --- | --- | --- | --- | --- | --- | | | 0 - 2 m | 2 - 4 m | 4 - 6 m | 6 - 8 m | 8 - 10 m | | Main channel | VH | (< 10 m) | (10 - 20 ) | ( 20 - 30) | (> 30) | | | | VH | H | H | Mo | | First terrace | (< 10 m) | (10 - 50 m) | ( 50 - 100 m) | (100 - 200 m) | (> 200 m) | | | VH | H | | L | L | | Second terrace | ( <15 m) | ( 15 - 50) | (50 - 100) | (100 - 200 m) | (< 20 m) | | | Mo | Mo | L | L | VL | | Third terrace | (< 20 m) | (20 -50) | (50 - 100) | (100 - 200) | (> 200 m) | | | Mo | L | L | L | VL | | Fourth terrace | (< 30 m) | (30 - 50) | (50 - 100) | (100 - 200) | (> 200 m) | | | L | L | L | VL | VL | Note: Terrace data in the river channel are obtained from the IFA Map - External Geodynamic Factor and the Geomorphological Map of the study area.
Guideline Table of Technical Limitations and Potentials by Geoaptitude | GEOAPTITUDE | 1 | 2 | 3 | 4 | 5 | | --- | --- | --- | --- | --- | --- | | Bearing capacity | Very Low | Low | Moderate | High | Very High | | Quality of materials | Very Low | Low | Moderate | High | Very High | | Susceptibility to erosion | Very High | High | Moderate | Low | Very Low | | Susceptibility to sedimentation | Very High | High | Moderate | Low | Very Low | | Hydrogeological potential | Very High | High | Moderate | Low | Very Low | | Infiltration potential in the aeration zone | Very High | High | Moderate | Low | Very Low | | Aquifer vulnerability | Very High | High | Moderate | Low | Very Low | | Susceptibility to landslides | Very High | High | Moderate | Low | Very Low | | Regional Seismic Hazard | Very High | High | Moderate | Low | Very Low | | Local Seismic Hazard | Very High | High | Moderate | Low | Very Low | | Liquefaction potential | Very High | High | Moderate | Low | Very Low | | Potential for surface rupture due to a nearby active geological fault | Very High | High | Moderate | Low | Very Low | | Volcanic Hazard | Very High | High | Moderate | Low | Very Low | | Potential for Tsunami impact (coastal zones) | Very High | High | Moderate | Low | Very Low | | Flood Potential (fluvial valley) | Very High | High | Moderate | Low | Very Low | | Integrated Geoaptitude | Very Low | Low | Moderate | High | Very High | Table No. 3. Geoaptitude Qualification Criteria for IFA - Integrated Geoaptitude
| Category | Score | Collateral determining element: |
|---|
| IFA Very High Geoaptitude | 0 - 25 | minimum three factors of category VL |
| IFA High Geoaptitude | 25 - 35 | minimum two factors of category VL |
| IFA Moderate Geoaptitude | 35 - 50 | minimum one factor of category VL (non-critical) |
| IFA Low Geoaptitude | 50 - 65 | |
| IFA Very Low Geoaptitude | 65 - 75 | |
| IFA Bioaptitude | | | | | | | --- | --- | --- | --- | --- | --- | | | 1 | 2 | 3 | 4 | 5 | | Type of biotic cover | Primary forests, wetlands and areas of absolute protection by current legislation I (very high) | Secondary forests II (high) | Secondary forests in recovery III (moderate) | Pastures with trees or agroforestry crops IV (low) | Pastures, cultivation areas, zones of anthropic use V (very low) | | Management categories | National parks Biological reserves. | Wetlands Natural monuments | Forest reserves Protected zones National wildlife refuges | Buffer zones of protected areas, defined as a geographical space of 500 meters from their boundaries | Zones with no use restriction from the point of view of biological resources | | Biological Corridors and connectivity | Biological corridors occupied by primary and secondary forests | Biological corridors occupied by secondary forests in recovery | Connectivity zones of biological corridors occupied by diverse human activities | Zones of partial restriction due to proximity (up to 500 meters) of biological corridors and connectivity | Zones with no restriction from the point of view of biological corridors and connectivity | | IFA Edaphoaptitude | | | | | | | | 1 | 2 | 3 | 4 | 5 | | Potential for agricultural use based on soil fertility | Very High | High | Moderate | Low | Very Low | | Land Use Categories | VII, VIII | V, VI | IV | III | I, II | | | I (very high) | II (high) | III (moderate) | IV (low) | V (very low) | | IFA Anthropoaptitude | | | | | | | | 1 | 2 | 3 | 4 | 5 | | Type of anthropic use | Areas where identified archaeological sites or cultural resources are located I (very high) | Areas of anthropic occupation within environmentally fragile areas according to the definition in Annex 3 of the General EIA Regulation II (high) | Areas of potential human occupation in the medium term (3 to 10 years) III (moderate) | Areas of potential human occupation in the short term (less than 3 years) IV (low) | Areas of current anthropic occupation (infrastructure and agriculture) V (very low) | | Landscape potential (according to data from Table 1- Anthropoaptitude) | Very High | High | Moderate | Low | Very Low | Table No. 1. Anthropoaptitude - Landscape potential | External scenario, by view from inside the local basin | Immediate scenario (local basin) | | | | | | --- | --- | --- | --- | --- | --- | | | Type 1 | Type 2 | Type 3 | Type 4 | Type 5 | | | Primary forest cover (cobertura boscosa) or total absence of cover due to natural conditions (volcanic landscapes) | Secondary forest cover (cobertura boscosa) | Mixed-type forest cover (cobertura boscosa) (pastures, crops, and scattered trees) with forest patches | Human occupation (infrastructure) on up to 30% of the basin surface, type 3 vegetation cover. | Human occupation on more than 50% mixed with various types of cover | | Upper part of the basin, with total panoramic view (80 - 100%) | MA | MA | A | Mo | Mo | | Upper part of the basin with partial panoramic view (60 - 80 %) | MA | A | A | Mo | B | | Middle part of the basin, partial panoramic view (40 - 60 %) | A | A | Mo | Mo | B | | Middle part of the basin with limited panoramic view (20 - 40 %) | Mo | Mo | B | B | MB | | Lower part of the basin with limited panoramic view (< 20 %) | B | B | B | MB | MB | Reference Table for Characterization of IFA Zones | IFA Zoning | Technical Limitations and Potentialities | Uses Based on Limitations and Potentialities and Their Technical Conditions | | | | | | --- | --- | --- | --- | --- | --- | --- | | | GEOAPTITUDE | BIOAPTITUDE | EDAPHO -APTITUDE | ANTHROPO - APTITUDE | USES NOT RECOMMENDED | RECOMMENDED USES | | I - 1 | . | . | . | . | . | . | | I - 2 | . | . | . | . | . | . | | I - 3 | . | . | . | . | . | . | | II - 1 | . | . | . | . | . | . | | II - 2 | . | . | . | . | . | . | | II - 3 | . | . | . | . | . | . | | III - 1 | . | . | . | . | . | . | | III - 2 | . | . | . | . | . | . | | IV - 1 | . | . | . | . | . | . | File article
TECHNICAL PROTOCOL Zoning and Restrictions on Land Use On or In the Immediate Territorial Area Adjacent to Active Geological Faults 1. Considerandos (Recitals / Justification) 1.1 Costa Rica is a geologically young country, characterized by presenting numerous geological faults throughout its continental and marine territory. Many of these geological faults are a source of seismic and neotectonic activity, and sources of a type of geological hazard called "surface rupture potential (potencial de ruptura en superficie)" which has meant, and may continue to represent, the generation of significant damage to infrastructure works and human settlement (ocupación humana) that are located on or in the areas immediately adjacent to fault traces or deformation zones that may appear in the terrain.
1.2 Not all geological faults that can be identified in a given geographical space qualify as active geological faults, that is, capable of producing, with a certain degree of probability and according to specific geological evidence, surface rupture potential and therefore constituting a natural hazard to human settlement (ocupación humana) works.
1.3 At the international level, in some countries, and particularly in the State of California, USA, important advances have been made for more than 15 years in the development of technical procedures for the administration of land use related to the issue of active geological faults. The fact that both regions, Costa Rica and the State of California, present certain similarities from the point of view of their geological and particularly tectonic activity, allows that the advances and experiences regarding the technical procedures developed on this subject by the geological authorities of California, USA, can be partially utilized, with the necessary adjustments and adaptations.
1.4 The National Environmental Technical Secretariat (SETENA), as part of its Environmental Impact Assessment Manual (Manual de EIA), has included a Technical Procedure for the integration of the environmental variable into Regulatory Plans or Land Use Planning, in which, as part of the cartography of terrain geoaptitude, it is necessary to include the subject of active and potentially active geological faults within the territory under analysis, so that this subject is included in order to promote appropriate land-use zoning that prevents, insofar as available technology allows, potential damage to properties and citizens as a consequence of future geological and tectonic activity.
1.5 The current legal framework in our country, particularly that linked to land-use planning, the prevention of natural hazards (amenazas naturales) and environmental impacts, established in laws such as the Urban Planning Law and its regulation, particularly regarding special areas; the Emergency Law and its regulation, regarding risk areas; the Organic Environmental Law, the Seismic Code of Costa Rica, as well as the General Regulation on Environmental Impact Assessment Procedures; among other legal instruments; establish an appropriate legal and technical framework to support this Technical Protocol.
1.6 In order to establish a technical protocol that guides project, work, or activity developers, and their consulting team, and society in general, on the "clear rules" that would apply for land-use zoning linked to the subject of active geological faults, the National Environmental Technical Secretariat, with the support of the Mixed Commission supporting the EIA process carried out by SETENA, formed a Technical Committee for the drafting of the protocol for active geological faults. This Committee is composed of the following institutions:
- a)A representative (geologist) from the Mixed Commission supporting SETENA, who coordinates it; b) A representative (geologist) from the Central American School of Geology of the University of Costa Rica; c) A representative (civil engineer) from the Costa Rican Chamber of Construction; d) A representative (geologist) from the National Emergency Commission (CNE); e) A representative (civil engineer) from the Federated College of Engineers and Architects; f) A representative (architect) from the Urban Planning Directorate of the National Institute of Housing and Urbanism (INVU), g) A representative (engineer) from the Institute for Municipal Development and Advisory (IFAM), and h) A representative (civil engineer) from the Faculty of Engineering of the University of Costa Rica.
2. Objective of the protocol. The primary purpose of the protocol is the definition of clear and preventive rules on the definition of restrictions or limitations and, where appropriate, prohibitions, regarding land use, under the condition that there exists a well-founded and acceptable technical reasoning about the existence of an active geological fault or, failing that, one qualified as potentially active; all this, in order to prevent, as a consequence of the same, and particularly its eventual activity, damage to human infrastructure, and with it, to people.
3. Principles supporting the application of the protocol. This protocol is based on the application of the following principles:
- a)Principle of natural risk prevention: implies the consideration of the risk factor, based on technical and scientific criteria, before the occurrence of the event that triggers negative results for people or the human environment.
- b)Principle of technical, social, and environmental responsibility: encompasses the responsibility that citizens or a specific organization must assume to comply with current legislation and with aspects of rationality and justice, from the technical, social, and environmental point of view, such that their omission or intentionality does not cause negative effects on third parties.
- c)Principle of certification and accreditation: process by which the authorities accept the technical information provided, under sworn declaration, by the administered party, by virtue of compliance with a series of guidelines provided by the same authorities; and provided they fully comply with said guidelines.
- d)Principle of ethics and professional responsibility: management through which the professionals qualified to carry out a determined task commit to executing it following strict criteria of ethics and responsibility, in the search for and provision of the truth, according to the technical criteria and technology available and applicable for said work; and with the awareness and knowledge of the moral, administrative, and even penal implications that non-compliance could entail.
4. Basic technical definitions 1. Fault: Defined as a fracture or a zone of closely spaced fractures along which the rocks on one side have been subjected to displacement relative to the rocks on the other side.
2. Potentially Active Fault: Faults that show evidence of surface displacement during the Quaternary (last 1.6 million years), also called a Neotectonic Fault.
3. Active fault: A (geological) fault that has had surface displacements during the Holocene (last 11,000 years) and which has the potential for future displacements along one or more of its segments, constituting a potential hazard to structures located on its trace. The displacements can be observed directly or inferred along the fault trace or part of it.
4. Fault with a defined trace: A fault is considered to have a defined trace if its trace is clearly detectable by a trained geologist as a physical feature on or slightly below the ground.
It can be identified by direct observation or indirect methods.
The critical consideration is that the fault or part of it can be located with sufficient precision and certainty to indicate that the necessary investigations of specific sites can be successful.
5. Fault trace: It is the line formed by the intersection of the (geological) fault and the earth's surface and is the representation of a fault on a map, including seismic fault zone maps.
The fault trace can be simple or compound.
6. Fault Zone: A fault zone is a zone of related faults that commonly are interlaced and subparallel, but may branch and be divergent. A fault zone has a significant width (with respect to the scale of the fault being considered or investigated) from a few feet to several miles.
7. Seismic fault zones: These are areas delimited by the geologist, which encompass the traces of more than one active fault.
8. Structure for human settlement (estructura de ocupación humana): It is any structure or infrastructure used or intended to house or protect any use or settlement (ocupación), from which it is expected that a human settlement (ocupación humana) of more than 2000 person-hours per year will be served by or depend directly on it.
9. Strategic infrastructure: those works that, due to their scale, investment cost, use, and importance, are of great strategic value for the development of human activities and their quality of life, such as bridges, landing strips, ports, tunnels, dams, and sanitary landfills.
10. Specific criterion (a): No structure for Human Settlement (Ocupación Humana) will be permitted to be placed on the trace of an active geological fault. Additionally, as the area within 15 meters of such an active fault could presumably be underlain by active branches of that fault, provided by an appropriate geological investigation and reported according to the Geological - Neotectonic Study, no structure could be permitted in this area, unless there is a specific and local geological - neotectonic criterion that reduces said zone to a minimum of 10 meters. In the event of active geological fault zones, the area of restriction for the development of structures for Human Settlement (Ocupación Humana) will encompass at least the width of the deformation zone proven by the geological study or failing that, the technical criterion dictated by the respective regulation for certain works, and additionally, a minimum area of 15 meters, which may be expanded according to the technical criterion of the geologist conducting the investigation.
11. Specific criterion (b): In the case of strategic infrastructure, the first instance will be the selection of the design alternative that avoids passing over the active geological fault trace or the active geological fault zone and its respective safety zone established according to the geological - neotectonic study. In the event that it is materially impossible to prevent the infrastructure work from failing to comply with the above, a stricter design and construction parameter will be established in order to minimize eventual damage, and additionally, a disaster mitigation plan will be contemplated, which must be applied by the corresponding authority when the work is in use.
5. Technical guidelines of the protocol 5.1 Base consideration a) This protocol is applicable for those cases in which, as a product of a geological study of the terrain of a determined study area, the work results in the reasonable identification of the existence of a probable active or potentially active geological fault. Such identification could arise both from direct field work, which may be supported by geophysical methods or radiometric dating, from photointerpretation of remote sensor images, or failing that, from the integration and processing of geological information previously generated by other authors.
5.2 Initial prevention guideline a) If the geological study of the terrain aims at the geological and geoaptitude characterization of said geographical space in order to establish zoning for land use in the development of human settlement (ocupación humana) works, and if it identified the existence of a geological fault for which more detailed geological and neotectonic studies have not been carried out, a safety or restriction zone of 50 meters on both sides of the approximate trace where the fault has been identified must be established. In the case of a deformation zone associated with the trace of a main fault and which includes a series of secondary faults, the entire identified deformation zone and additionally a strip of land of 100 meters on both sides of it will be included as part of the safety or restriction area.
5.3 Guideline for the reduction of the safety zone according to technical geological criteria a) In order to reduce the safety zone preliminarily established in paragraph 5.2 above, a geological - neotectonic study must be carried out in order to establish, according to available technology, the location of the fault trace, its basic characterization, and the safety area regarding the development of human settlement (ocupación humana) works.
5.4 The geological - neotectonic study of the terrain regarding geological faults a) It comprises a geological study of the geographical space through the application of different available technologies, such as: direct analysis of geology and geomorphology in the field, photointerpretation of different remote sensor images and seismic record data, as well as data from trenches opened in the ground, paleoseismology, supported by radiometric dating or failing that, data from geophysical methods; the condition of a possible geological fault or fault zone is analyzed, and more precise data are obtained about its real existence, its more precise cartographic position, and other geological data established in the technical data sheet included as Appendix 1 of this protocol.
5.5 Registration and reporting of geological - neotectonic information a) The geologist responsible for conducting the geological - neotectonic study must record all information linked to it, including photographs, field notes, image photointerpretation results, references from previous studies, geophysical records, datings, and other similar data that served as the basis for the analysis. This information must be duly cited, both in the Technical Data Sheet and in the Geological - Neotectonic Report that will be prepared as support for it, and whose basic table of contents is shown in Appendix 2 of this protocol.
- b)The geological - neotectonic report must be signed by the responsible geologist, who must be duly authorized by current legislation to perform it.
5.6 Regarding the results of the geological - neotectonic study a) The geological - neotectonic study must conclude on the nature of the geological fault or faults under analysis, particularly whether or not it is a fault or a fault zone. It must also conclude whether it is an inactive or active fault, and must delimit the fault trace or failing that, the fault zone, as well as those other technical data included in the Data Sheet in Appendix 1.
- b)The main result of the geological - neotectonic study is to indicate if the Fault is active. If affirmative, a safety area must be established and defined.
- c)As part of their results, the responsible professional must introduce a brief final discussion on the quantity and quality of the information processed and, on this basis, will assign weights to it and a qualification of the degree of certainty obtained, according to the reference table in Appendix 3.
5.7 Regarding the spatial scope of the geological - neotectonic study a) The geological study will only have application for the study area to which it is circumscribed. In order for it to be extrapolated to other nearby areas, new technical geological information of a similar nature must be added for that new work area, in order to support the expansion of the geographical space under analysis. In this case, the same technical guidelines applied in this Protocol will apply.
- b)In the event that another geology professional carries out the study in the adjacent area, or complements a previous one, and their results differ with respect to the first and adjacent study, they must present their arguments through a technical discussion in the report and will weigh their results considering the certainty rating they consider these results have.
- c)Should different professionals contribute dissimilar information for adjacent areas, and if required, the results of both investigations may be subject to arbitration by an expert duly accredited by the National Commission for Disaster Prevention and Emergency Response (CNE) and duly registered and authorized for professional practice before the College of Geologists of Costa Rica.
5.8 Regarding the safety area established in the geological study a) The safety area established in the geological study represents the geographical space that presents restrictions for the development of human settlement (ocupación humana) infrastructure.
It has the character of a special area according to the provisions of the Urban Planning Law, or as a zone of imminent risk, in accordance with the Emergency Law. For this reason, based on the technical arguments supporting its definition, said area must be respected by all authorities processing permits or authorizations linked to land use. Failure to respect this provision will be considered a serious offense, and the responsibility will fall on the authorities that disrespect this provision and do not require the corresponding technical information.
- b)For the purposes of developing human settlement (ocupación humana) infrastructure, every buyer of a piece of land has the right to know whether or not it is crossed by an active or potentially active geological fault. In the event that the land in question has been the subject of a local geological study that provides data on the geological nature of the terrain and that are known to or owned by the seller, the seller may provide them to the buyer as part of the negotiation.
5.9 Regarding technical reviews carried out by other geology professionals on neotectonic geological studies a) The definition of the safety area is established based on the principles referred to at the beginning of this protocol. If an interested party questions a previous study and wishes to have it reviewed, they may do so at their own expense and by their own means. However, the report must provide new technical inputs and follow the supplementation guidelines indicated in section 5.7 above, including the possibility of technical arbitration.
- b)Any technical report prepared as a supplement to a previous existing one must, by placing new data, improve the certainty rating provided by the first.
The corresponding authorities, by virtue of this contribution, will establish a position when appropriate.
5.10 Regarding the interpolation of the fault for the derivation of data from local seismic sources a) Although the fundamental objective of this protocol is to prevent new human settlement (ocupación humana) works from being installed on or in the immediate vicinity of an active geological fault trace or zone, the results of the geological study prepared for it can be used as support to perform an extrapolation on a nearby seismic source. In this case, the geologist, based on the data from the Technical Data Sheet of the Fault (Appendix 1), may approximate the data, considering as part of it the net length of the geological fault and the neotectonic movement it evidences, and even its potential degree of hazard.
- b)The consideration of the fault as a local seismic source must be provided as technical input to the structural engineer of the work so that they can integrate it as part of the anti-seismic design parameters.
6. Scope of the protocol. This protocol may be used by users at the time they wish to establish the existence or non-existence of an active or potentially active geological fault within a given geographical space. However, it must be used as a complement to terrain geoaptitude studies carried out as part of environmental authorizations, or in territorial planning studies whose purpose is land-use zoning in the preparation of regulatory plans or other types of territorial planning.
7. Application of the protocol. This protocol applies both to new infrastructure works planned for development and to land-use zoning. It does not have retroactive character, unless the owners of the land or buildings so wish.
8. Final considerations. In the event that there are existing infrastructure works (human settlement (ocupación humana)) within a safety area or fault trace identified through a technical study that has made use of this protocol, the following guidelines will be applied:
- a)The municipal authority will inform the owners of those real estate properties about the situation; b) It will indicate to them that they must establish technical measures for structural reinforcement and prevention, whenever possible.
- c)The owners or occupants of the buildings will have an emergency plan for earthquakes, prepared by a professional specialized in the matter, which involves the evacuation of the most vulnerable structures.
- d)Future expansions that imply the arrival of new inhabitants to the structures will be discouraged, and a gradual process of disincentivizing the settlement (ocupación) process of the specific lands linked to the established safety area will be promoted.
9. Registration and management of information on active or potentially active geological faults. A copy of the technical reports or arbitration results carried out through the application of this Protocol must be delivered to the National Commission for Disaster Prevention and Emergency Response (CNE), without whose received stamp the document will not have official status.
10. Technical reference bibliography . DMG (1999): FAULT - RUPTURE HAZARD ZONES IN CALIFORNIA, Alquist - Priolo Earthquake Fault Zone Act with Index to Earthquake Fault Zones Maps. - Department of Conservation - Division of Mines and Geology Special Publication 42, Revised 1997, Supplements 1 and 2 added 1999 (http://www. consrv.ca.go/dmg/).
. DMG (2004): RECOMMENDED CRITERIA FOR DELINEATING SEISMIC HAZARD ZONES IN CALIFORNIA. Department of Conservation - Division of Mines and Geology Special Publication 118. (http://www.consrv.ca.go/dmg/).
APPENDIX 1 Technical Data Sheet for the neotectonic characterization of active or potentially active geological faults
| Geological Framework | |
|---|
| General characteristics: | |
| General fault data: | |
| unknown |
| normal fault |
| reverse fault |
| Genetic type of fault | strike-slip fault (sinistral or dextral) |
| oblique-slip fault |
| thrust fault |
| complex movement fault |
| Fault length (km): | |
| Dip direction of the fault plane (°): | |
| Inclination direction of the fault plane (°): | |
Geomorphological Criteria => based on field data as well as the interpretation of remote sensing data and digital terrain models (DTMs)) => Classification of each of the criteria according to the degree of prominence 0 to 3 (0: not present; 1: slight; 2: moderate; 3: pronounced)
| Geomorphological Criterion | | Detailed data | Prominence |
|---|
| Tectonic scarp | Altitude difference (m): | Average slope (°): | |
| Counter-scarp | Altitude difference (m): | Average slope (°): | |
| Boundary of Geomorphological Units | Unit 1: | | |
| Boundary of coastal morphology units | Unit 2: | | |
| Unit 1: | | |
| Unit 2: | | |
| Aligned valleys | Length ((m1): (1 Or kilometers, as applicable) | Width (m): | |
| Displacement of river channels | Displacement (m): | channel width (m): | |
| Pressure ridge | Altitude (m): | Length (m): | |
| Basin of tectonic origin | Length (m): | Width (m): | |
| Displaced terrains | Length (m): | Width (m): | |
| Truncated alluvial fans | Length (m): | Width (m): | |
| Sum: | | | ---- |
Geological Criteria => Based on field data as well as the interpretation of remote sensing data and digital terrain models (DTMs), if also available in geophysical data such as seismic, geoelectric or electromagnetic) => Classification of each of the criteria according to the degree of prominence 0 to 3 (0: not present; 1: slight; 2: moderate; 3: pronounced) | Geological Criterion | | Detailed data | Prominence | | --- | --- | --- | --- | | Vertical rejection of mapped geological units | Vertical rejection (m): | | | | Horizontal rejection of mapped geological units | Horizontal rejection (m): | | | | Fault breccia zone verified in the field | Width (m): | Length (m): | | | Surface rupture zones verified in the field | Width (m): | Length (m): | | | Change in dip/inclination of strata on both sides of the fault | Side 1 (°,°): | Side 2 (°,°): | | | Zones with evidence of slope instability (block falls, landslides, collapses) related to the fault segment | Zone Width (m): | Zone Length (m): | | | Age of the youngest unit affected by the fault | Age: | | | | Width of the faulting zone | Width (m): | | | | Hydrothermal manifestations related to the fault segment | Observations: | | | | Sum: | | | ---- | Hydrogeological Criteria => based on field data as well as the interpretation of remote sensing data and digital terrain models (DTMs), if also available in geophysical data such as seismic, geoelectric or electromagnetic) => Classification of each of the criteria according to the degree of prominence 0 to 3 (0: not present; 1: slight; 2: moderate; 3: pronounced) | Hydrogeological Criterion | | Detailed data | Prominence | | --- | --- | --- | --- | | Spring (naciente) of water related to the fault segment | estimated flow (l/s): | Flow variability: | | | Aligned springs (nacientes) related to the fault segment | Number of springs (nacientes): | average flow (l/s): | | | Increased infiltration potential related to the fault segment | Fault Potential (cm/min): | Surroundings Potential (cm/min): | | | Sum: | | | ---- | Seismicity Criteria => Based on the seismic data of the recorded instrumental seismicity, especially from the seismological observatories RSN (ICE - UCR) and OVSICORI => Classification of each of the criteria according to the degree of prominence 0 to 3 (0: not present; 1: slight; 2: moderate; 3: pronounced) | Seismicity Criterion | | Detailed data | Expressiveness | | --- | --- | --- | --- | | Seismic events aligned related to the fault trace2 (2 Regarding faults with vertical or near-vertical planes. In the case of faults with moderately or low-inclination planes, the alignment criterion must be complemented with depth gradient data and, if possible, with seismic motion polarity data). | Number of earthquakes: | Maximum magnitude (Richter): | | | Zone of high "Seismic Density"1 related to the fault segment (1 The "Seismic Density Index" integrates the average density of earthquakes/km² as well as the average magnitude of seismic events based on the "Moving Average Interpolation" methodology (ITC, 2001; MENDE & ASTORGA, in press) | Maximum value of the "Seismic Density Index" | | | | Serious discrepancy of very low values of the "Seismic Density Index" compared to pronounced geological, geomorphological or hydrogeological criteria | Observations: | | |
Recommendations APPENDIX 2 Basic content guide for the technical report of the geological - neotectonic study of an active or potentially active geological fault | No. | Title | Observation | | --- | --- | --- | | 0. | Report title and author | | | 1. | Introduction | Objective of the report and reason for its preparation | | 2. | Study area | Geographical and administrative location. Cadastral map number if applicable and owner. Indicate the analysis area considered for the study outside the property itself. | | 3. | Methodology and information base | Previous information considered and brief explanation on the practical application of the methodology established by the protocol. | | 4. | Regional and local geology data | Summary of the most recent and updated geological data for the study property and its immediate surroundings, and technical reference to a specific study explaining the same. | | 5. | Preliminary data on the geological fault | Basic criteria for the preliminary recognition of the geological fault under analysis | | 6. | Image photointerpretation data | Summary of the analysis results, fundamentally the criteria that have allowed identifying the fault. | | 7. | Direct field data | Direct observations of a geological, geomorphological, topographical, or other type that provide fault recognition criteria, including trenches. | | 8. | Other data obtained by indirect methods | Recorded or historical seismicity data, geophysical profiles, and other similar data. | | 9. | Fault characterization | Written summary of the fault data according to the data obtained. | | 10. | Technical Opinion | Synthesis on the activity of the analyzed geological fault, defined safety area, certainty classification of the process followed, and summary of specific technical recommendations. | APPENDIX 3 Certainty values for the identification and analysis criteria of active geological faults
| Values → | Very High | High | Moderate | Low | Very Low |
|---|
| Criteria and their weights ↓ | (5) | (4) | (3) | (2) | (1) |
| Photointerpretation (5) | | | | | |
| Geological (6) | | | | | |
| Geomorphological (6) | | | | | |
| Topographical (5) | | | | | |
| Seismological (5) | | | | | |
| Geophysical (6) | | | | | |
| Paleoseismicity (trenches and others) (8) | | | | | |
| Summation1: | | | | | |
| Final result2: | 175 - 205 | 150 - 175 | 120 - 150 | 80 - 120 | > 80 |
1: Sum of each column multiplied by the criterion weight.
2. Total sum of points.
Mode of use:
- e)The responsible professional must indicate, according to the data processed by them and considering expert criteria, the quality value of the information provided by the thematic criterion to identify and characterize the geological fault under analysis.
- f)According to the selected box, they must multiply by the criterion weight. The resulting number must be placed in the corresponding intersection box.
- g)When no technical criterion is available, the box shall be left blank.
- h)Once the criteria have been established, the summation of each column is carried out.
- i)Finally, all the boxes in the "Summation" row are summed. According to the sum result, the range corresponding to the "Final Result" is marked with an "X".
- j)When the degree of certainty qualifies as Very Low, it will not be considered acceptable. More and better criteria for its definition must be sought.
- k)When the certainty classification results as Low, the conclusion obtained may be considered, but it must be emphasized that the certainty data is Low and indicate that it could be subject to new analyses to improve it. In this case, the conclusions shall be established as preliminary.
- l)From a certainty classification of moderate upwards, the data will be considered acceptable to generate conclusions.
GOD Method for vulnerability analysis of contamination of superficial or phreatic aquifers When data is scarce, does not completely cover the study territory, or is uncertain, the application of various methodologies for evaluating intrinsic vulnerability (DRASTIC, SINTACS) induces risky assumptions. Instead, the GOD method (Foster, 1987, Foster & Hirata, 1991) was developed specifically for zones where information about the subsoil and groundwater systems is scarce (Custodio, 1995). Furthermore, it has a simple and pragmatic structure that makes it superior to other methods in interpreting results. The GOD method estimates the vulnerability of an aquifer by multiplying three parameters representing three types of spatial information.
G: aquifer type (Groundwater occurrence).
O: Lithology of the unsaturated zone (Overlying lithology).
D: Depth of groundwater (Depth of groundwater).
The product of these components yields a vulnerability index that can vary between 0 and 1, indicating vulnerabilities from negligible to extreme. The fact of not directly considering the soil can be corrected by incorporating sub-indices that consider the attenuation capacity (clay content) and degree of soil fracturing (permeability).
The major simplifications introduced in this method are justified by the actual availability of data, but as a trade-off, definition is lost, and it is not possible to differentiate one type of contaminant from another.
References:
Custodio, E. 1995: Vulnerabilidad de los acuíferos a la polución. Seminario Internacional de Aguas Subterráneas, Chile.
Foster, 1987: Fundamental concepts in aquifer vulnerability pollution risk and protection strategy. Proc Int Conf. « Vulnerability of Soil and Groundwater to Pollutants » (Noordwijd, The Netherlands.
Table of Contents of the IFA method application Report 1. Introduction.
This Table of Contents must serve the user as a guide or orientation for the preparation of the Technical Report on the application of the IFA method. It must be adapted for each specific case and depending on the nature and conditions of the geographical space object of the study.
The author or authors of the study and the authorities responsible for its supervision may mutually agree so that the document can be segmented into parts or that a single report is prepared. Whatever the case, the procedure must be applied completely.
As indicated in the procedure, the maps, figures, and information tables accompanying the text must be presented as part of it in formats of similar size to the text or at most double its size. However, this does not omit the fact that maps and other information that the authors consider appropriate should preferably be presented as an "atlas" presented at the actual scale at which the cartography was carried out, so that the authorities and evaluators of the document have appropriate information for data analysis.
As established by the procedure, all information must be delivered in printed form and also in digital format. In the latter case, it must be protected or encrypted so that manipulations or modifications to the presented information cannot occur. The software programs in which they are delivered must be commonly used or of simple and easy acquisition so that the evaluating authority can open the digital documents without difficulty and also make them available to the public for consultation.
2. Table of Contents. The Report Table of Contents shall follow, as far as possible, the following thematic guide:
| Ref. | Title or subtitle |
|---|
| Report Cover Page |
| Report Author(s) Page |
| Index |
| Document Presentation |
| 1. | Introduction |
| 2. | IFA Geoaptitude |
| 2.1 | Geology and Lithopetrophysical Geoaptitude |
| 2.2 | Geomorphology and Geoaptitude due to External Geodynamics |
| 2.3 | Hydrogeology and Hydrogeological Geoaptitude |
| 2.4 | Geoaptitude due to Slope Stability |
| 2.5 | Geoaptitude of Natural Hazards |
| 2.6 | Integrated Geoaptitude |
| 3. | IFA Bioaptitude |
| 3.1 | Forest cover (cobertura boscosa) and life zones |
| 3.2 | Biological corridors, connectivity and protected areas |
| 3.3 | IFA Bioaptitude Map |
| 4. | IFA Edaphoaptitude |
| 4.1 | Land use capacity |
| 4.2 | Soil types and agricultural potential |
| 4.3 | IFA Edaphoaptitude Map |
| 5. | IFA Anthropoaptitude |
| 5. 1 | Historical and archaeological data on land use |
| 5.2 | Current land use |
| 5.3 | Land use and occupation trends in the short term |
| 6. | Integrated IFA |
| 7. | Environmental condition due to land use and overuse |
| 8. | Land use zoning according to integrated IFA categories |
| 9. | Conclusions and recommendations |
| 10. | Bibliographic References |
Some guiding principles and environmental restrictions for tourism master plans in the coastal zone 1. GUIDING PRINCIPLES FOR TOURISM MASTER PLANS Master plans include the regulation of land uses, zoning, road systems, densities, bases for site design, and general specifications for project development.
The following guiding principles for project development are established:
I. Full respect for protected areas
II. Adequate management of existing vegetation cover
III. Balanced spatial distribution of facilities and constructions
IV. Facilitation of internal circulations, adapted to the topography
V. Optimal use of scenic views
VI. Reduction and control of pollution possibilities
VII. Use of native materials, including vegetation
VIII. Promotion of the use of alternative energies
IX. Recycling of sewage and solid waste
X. Architectural designs and external finishes appropriate to the area
and the purpose of the Project.
XI. Free use of beaches and access to scenic views
XII.Consultation process with the communities adjacent to the project as well as with the different stakeholders who are affected positively or negatively by its implementation.
XIII.Dissemination of the project development and continuous and permanent communication with the communities adjacent to the project as well as with the different stakeholders who are affected positively or negatively by its implementation.
In general, projects shall be guided within the framework of the current ordering of their purposes, national and regional interests, and within the principles of sustainable development, in harmony with nature.
2. ENVIRONMENTAL RESTRICTIONS The following specific restrictions are established:
- a)Buildings may be constructed on the total area of the property provided they do not exceed an average of 20 (twenty) rooms per hectare, which may include:
√ Hotel Complexes, √ Cabins, √ Condominium housing √ Single-family housing √ Central village with public offices, shopping center, craft shops, restaurants, and other amenity businesses √ Marinas √ Golf courses, sports courts, and other facilities required for sports practice √ Swimming pools, √ Restaurants √ Service stations, √ Bus stops for internal public transport service and private parking lots, √ Beach clubs √ Archaeological, cultural, and natural museums (continental and marine) √ Equestrian fields √ Sites dedicated to the autochthonous, regional or indigenous culture of the area, volcanoes, flora, fauna (continental and marine), √ Educational entertainment sites or centers √ Others duly justified and which will be subject to evaluation for their eventual approval.
- b)A surface occupancy coefficient of no more than 30% must be maintained; c) Electrical and telephone cables and any communication system wiring shall be underground; d) External lighting shall be low in height and as dim as possible; e) The height of buildings shall not exceed three stories (14 meters from the natural ground level); f) Installing septic tanks and dumping waste into the sea shall be prohibited; every project must connect its wastewater to a treatment plant and g) Restrictions based on archaeological reasons and any other derived from current regulations.
Environmental Analysis Table and Environmental Impact Sheet (See table published in printed La Gaceta No. 85 of May 4, 2006) Environmental Impact Sheet | a) | IFA zone or subzone where the potential impact will occur: | | --- | --- | | b) | Technical constraints identified | | c) | Current land use type | | d) | Proposed land use type according to the established IAP category | | e) | Environmental impact on the given environmental factor (*) (*) The pressure or requirement on the environmental factor in question regarding its average potential use and also the effect or environmental impact that could occur during the highest-impact phase (construction or operation) of the proposed development will be taken into account. | ---- i ASTORGA, A. & MENDE, A. (2004): Evaluación de la geoaptitud y la fragilidad ambiental de Orosi y definición de lineamientos sobre el uso del suelo. Orosi - Informe Final del Estudio Geológico para el Desarrollo de una base técnica para el Ordenamiento Ambiental Territorial de una parte del distrito de Orosi, cantón de Paraíso, provincia de Cartago, Costa Rica. Submitted to the Comisión Nacional de Prevención de Riesgos y Atención de Emergencias (CNE), 95p. (Inédito).
ii LA GACETA Nº 215 (1997): Manual de instrumentos técnicos del proceso de Evaluación de Impacto Ambiental. - Resolución 588 - 97 SETENA, published on Friday, November 7, 1997.
iii ASTORGA, A. & CAMPOS, L. (2001): El cartografiado de geoaptitud de los terrenos (Mecanismo catalizador para sintetizar y facilitar la contribución de las Ciencias Geológicas en el Ordenamiento Territorial). - Revista Geológicaa de América Central, 24: 103, 110, San José.
iv FOSTER, S., HIRATA, R, GOMEs, D., D´ELIA, M. & PARIS, M. (2002): Protección de la Calidad del Agua Subterránea. Guía para las empresas de agua, autoridades municipales y agencias ambientales. Groundwater Management Advisory Team (GW - MATE); Banco Mundial, 115 p.
v CFIA (2002): Código Sísmico de Costa Rica. Colegio Federado de Ingenieros y de Arquitectos de Costa Rica. - Editorial Tecnológica de Costa Rica.
vi GONZÁLEZ, L., FERRER, M., ORTUÑO, L. & OTEO, C. (2002): Ingeniería Geológica. - Person Educación, Madrid, 715 p.